Head of Compliance

What's on offer:

• Salary of £80,000 - £85,000+ (negotiable depending on experience)
• Bonus
• 5% employer pension contribution
• Death in Service cover
• Permanent Health Insurance
• Remote working (min once a month in the office, or if preferred regular access to Taunton or Leeds office)
• Opportunity to join the senior management team and influence business strategy
• Growing business with ambitious plans and genuine scope to make an impact

• Acting as SMF
  16 (Compliance Oversight) and SMF
  17 (MLRO)
• Leading the firm's compliance, risk and financial crime functions
• Maintaining and enhancing the risk and compliance framework
• Overseeing compliance monitoring, file reviews and quality assurance activity
• Managing FCA reporting, regulatory engagement and regulatory change
• Providing guidance and support to advisers, management and the Board
• Delivering compliance and financial crime training across the business
• Producing Board and committee reporting on compliance, risk and Consumer Duty
• Supporting governance, SMCR and wider business initiatives
• Helping to shape a positive compliance culture across the firm

This is a hands‑on leadership role. Whilst you'll sit on the senior management team and lead the compliance agenda, you'll also remain actively involved in monitoring, file reviews, adviser support, training and regulatory reporting.

• Previous experience within an IFA or wealth management firm
• Experience holding SMF
  16 and SMF
  17 responsibilities
• Strong understanding of FCA regulation
• Experience engaging with senior stakeholders and Boards
• A pragmatic, commercial approach to compliance
• Someone who is happy to combine strategic oversight with hands‑on delivery

This is an excellent opportunity for an experienced compliance leader looking to join a growing business where they can have genuine influence, visibility and ownership.

Head of Compliance, Compliance Director, Compliance Manager, SMF
16, SMF
17, MLRO, Compliance Oversight, Financial Crime, Risk Manager, Wealth Management, Financial Planning, IFA, Independent Financial Adviser