Head of Compliance Advisory

- Head of Compliance Advisory

- 3 days each week out of either Birmingham or Reading

- c.£150,000 + Bonus + Benefits

Our client, a national wealth management firm, are looking for a Head of Compliance Advisory to join the team. With a strong reputation for integrity, performance, and client service, they pride themselves on fostering a culture of excellence, collaboration, and responsible governance. This is a pivotal role responsible for providing expert compliance advice and guidance across all areas of the business, ensuring regulatory requirements are met while enabling business growth.

Role & Responsibilities:

• Lead the Compliance Advisory function, acting as a trusted partner to the business and senior management.
• Provide proactive, pragmatic, and solution-focused regulatory advice on all aspects of wealth management, including investments, financial planning, client onboarding, suitability, and conduct matters.
• Keep abreast of regulatory developments and emerging risks, ensuring the business is informed and prepared.
• Build and maintain strong relationships with key stakeholders, including front office, operations, risk, legal, and external regulators.
• Oversee the review and approval of new products, services, and initiatives from a compliance perspective.
• Lead on regulatory projects and thematic reviews, ensuring effective implementation of regulatory change.
• Develop and deliver relevant compliance training and awareness programmes.
• Support the firm’s Compliance Monitoring Plan and wider Compliance strategy.
• Act as a key liaison with the FCA and other regulatory bodies as required.

Do you have the following to apply?

• Significant compliance advisory experience within a wealth management business.
• Strong technical knowledge of UK financial services regulation, particularly FCA rules (COBS, SYSC, CONC, etc.) and regulatory expectations for wealth management activities.
• Excellent communication, influencing, and stakeholder management skills, with the confidence to challenge and engage at Board level.

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.