Head of Compliance (Financial Advice)

We’re partnering with a highly regarded, independent wealth management firm known for its strong family values and forward-thinking approach. The business supports a client base of successful business owners, senior executives, and retired professionals, nurturing long-term, trusted relationships and delivering genuinely bespoke financial planning and investment advice.

The firm is ambitious and growth-focused, with clear succession plans already mapped out for the years ahead. With a reputation for looking after its people as well as its clients, it offers a warm, collaborative culture where progression is encouraged for those who deliver results and demonstrate leadership potential.

The Opportunity
This newly created Head of Compliance role will be instrumental in supporting the firm’s next stage of growth. Compliance is currently outsourced, so you will lead the development of an in-house function while continuing to liaise with external providers where appropriate.

You’ll take full ownership of regulatory compliance, including FCA reporting, oversight of policies and procedures, advice to the board, and ensuring the wider team remains up to date and compliant as the business grows.

This is an excellent opportunity for someone who wants to step into a meaningful leadership role within a respected firm that genuinely values independence and long-term succession planning.

What We’re Looking For

• Extensive experience in a senior compliance position within financial planning or wealth management

• Strong working knowledge of FCA requirements and best practice

• Commercially aware, pragmatic, and able to balance compliance with business goals

• Excellent communication skills and the confidence to advise at board level

• A collaborative approach — someone who will fit into a warm, family-led culture

Benefits Include:

• Hybrid working (3 days in the office, 2 from home)

• Annual holiday entitlement that increases with length of service

• Private medical cover

• Death in service benefit