Head of Compliance

Location: Stoke-On-Trent

Our client is a leading wealth management firm who are looking for a Head of Compliance to join a growing and dynamic Independent Financial Adviser firm. The successful candidate will support the Compliance Director on day-to-day regulatory compliance, promote a compliance and risk-aware culture and embed the strategic risk framework. This will include, but not limited to delivering a high-quality compliance monitoring programme, providing compliance advice to the business and support general risk management education.

Role & Responsibilities:
Support the Compliance Director in managing the firm’s compliance and regulatory framework, ensuring alignment with FCA requirements Oversee monitoring, audits, and compliance reviews across advisory and operational functions Provide expert guidance on regulatory developments, including Consumer Duty and ongoing FCA policy changes Develop, implement, and maintain policies, procedures, and controls Produce and present Management Information (MI) and compliance reports to the Board Support and challenge advisers to ensure client outcomes meet regulatory and ethical standards Lead training and competence programmes to ensure staff remain fully compliant Investigate and resolve compliance breaches, complaints, and incidents Do you have the following to apply?

Proven experience in a senior compliance role within an IFA or Wealth Management firm Strong understanding of FCA regulations, including Consumer Duty, TCF, and SM&CR Hold the Level 4 Diploma in Financial Planning as a minimum Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.