Head of Compliance (SMF16/17) – Wealth Management London / Hertfordshire Hybrid Circa £150k Plus Bonus and Benefits About the Firm A well-established and growing wealth management and advisory firm, with headquarters in the Southeast UK and multiple offices, is recognised as one of the leading companies in the industry.
Over the past decade, the firm has experienced consistent growth, marked by successful acquisitions and a strong client base.
The firm's ownership structure includes a significant partnership with an internationally respected financial services company known for its innovative, client-centric approach.
This global parent company has a robust track record of growth and is publicly listed, serving tens of thousands of clients and managing substantial assets.
Role Overview We are looking for an experienced Head of Compliance to join the leadership team of our rapidly expanding wealth management firm.
Reporting directly to the Executive Committee and the compliance lead of the parent company, this strategic role is pivotal in shaping the firm's compliance and risk frameworks while serving as the primary liaison with regulatory bodies.
Key Responsibilities Compliance Leadership : Lead and oversee the firm's compliance framework and advise the board on all compliance matters.
Act as the main point of contact for regulatory interactions.
Develop and implement strategic initiatives to enhance and optimize compliance processes.
Anticipate and navigate complex compliance challenges to ensure the firm's adherence to regulatory standards.
Risk Management : Evaluate and evolve the current risk management framework.
Partner with key internal stakeholders to strengthen risk controls and operational risk processes.
Contribute to refining risk assessment and mitigation strategies to support the firm's growth.
Oversee a team of compliance professionals, ensuring high performance and development.
Strategic Initiatives : Drive compliance agendas in collaboration with the CEO.
Support the development and execution of the firm's 3–5-year growth plan, including potential geographic expansion and larger strategic acquisitions.
Foster an organic, marketing-led growth strategy with careful compliance oversight.
Provide informed recommendations and maintain effective communication with the board and external regulators.
Qualifications & Experience : Proven track record in senior compliance roles within financial services.
Strong leadership capabilities with experience managing teams and liaising with regulatory authorities.
A strategic mindset with the ability to develop and implement effective compliance and risk management processes.
Familiarity with complex operational environments and experience leading change initiatives.
Working Environment : Hybrid working model, with a minimum of three days per week in the office.
The primary location is in the Southeast UK, with periodic meetings at key business sites.