Head of First Line of Defence and Wealth Advisory

Head of Compliance and Business Risk, Flexible Location

My client is a FTSE 250 Investment Management firm. They are looking for a senior risk and compliance professional to support the CEO ensure that the business risk agenda is effectively monitored and managed, and the Consumer Duty Framework is embedded.

This is a FLOD senior leadership role responsible for overseeing the quality, compliance, and effectiveness of investment advice and financial planning advice services delivered to clients, together with oversight on the business risk and controls in the Wealth Business. This role ensures that all advice processes meet regulatory requirements, adhere to best practice standards, and deliver optimal client outcomes whilst managing risk and supporting business growth.

• Advice Quality and Supervision
• Regulatory Oversight and Compliance, Business risk and controls
• Team Leadership and Development
• Business Strategy and Development
• Risk Management and MI
• Minimum CISI Level 4 in Financial Planning - or equivalent
• Extensive experience in wealth management, with expertise in investment advice and financial planning
• Deep knowledge of FCA regulations
• Strong understanding of technical advice areas including pensions, investments, tax planning, and estate planning
• Experience in managing teams and developing technical capability
• Excellent analytical skills with ability to interpret complex advice scenarios
• Chartered Financial Planner or Chartered Wealth Manager status
• Experience working with the FCA through regulatory visits or skilled person reviews
• Knowledge of wealth management operating models and technology platforms
• Experience implementing advice frameworks or supervision methodologies
• Understanding of industry best practice through professional bodies such as the PFS or CII
• Wider understanding of the Wealth Planning landscape, including Trusts.

• Strong leadership presence with ability to command respect across the business.
• High integrity with commitment to delivering positive client outcomes.
• Strategic thinker with ability to balance commercial and risk considerations.
• Resilient and capable of managing multiple priorities in a demanding environment.
• Collaborative approach with ability to build effective relationships.
• Detail-oriented with commitment to technical excellence.