Compliance Director

We are partnering with one of the UK's leading Financial Planning businesses, providing impartial, tailored advice to High Net Worth Individuals, Business Owner-Managers, and Trustees. This award-winning, fee-based, independent firm manages over £2.4 billion in client assets.

As part of their continued growth, they are seeking a Compliance Director to join their Executive Leadership Team. This is a senior, influential role, working closely with the CEO and Board to drive a culture of compliance, ethics, and regulatory excellence while supporting the firm's ambitious growth plans.

The Opportunity:

• Executive leadership role reporting directly to the CEO and the Board
• Oversight of all compliance functions across the financial planning and corporate finance practices
• Act as SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) - holding both is an essential requirement
• Lead a talented compliance team and help shape the business's regulatory strategy
• Represent the firm with the FCA and external regulatory bodies, ensuring complete adherence to FCA regulations and internal policies
• Provide hands-on compliance support for the corporate finance practice (a smaller part of the overall remit)

What We're Looking For:

• Proven experience holding SMF16 and SMF17 responsibilities within a regulated environment
• Financial Planning industry experience is essential, supported by a Level 4 Diploma as a minimum (Chartered status highly desirable)
• Strong working knowledge of FCA regulations and compliance frameworks within the retail financial advice and wealth management sector
• A strategic thinker with excellent leadership skills, capable of working at Board level
• High ethical standards, professional integrity, and a commitment to best practices

Why Apply?

• Play a pivotal role at the executive level in a thriving, growing firm
• Shape and lead a compliance function in a high-profile, client-centric business
• Benefit from a flexible, UK-wide role offering outstanding professional development opportunities

Important:
Only candidates who have held SMF16 and SMF17 and have financial planning experience with a Level 4 Diploma or higher will be considered.

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