EXCLUSIVE ASSIGNMENT: Head of Compliance (SMF16) – Wealth Management
📍 Location: Liverpool (Flexible Working Available)
💷 Salary: Competitive + Benefits
📅 Contract Type: Permanent, Full-time
Are you a compliance professional looking to shape and lead a growing compliance function? This is a fantastic opportunity to join a thriving Wealth Management business that is expanding rapidly.
About the Business
With increasing new business and ambitious growth plans, the Directors are keen to bring in a Head of Compliance to take on the SMF16 role. This position offers the autonomy to shape the compliance function, allowing the Directors to focus on strategy and business development.
As Head of Compliance, you will:
* Take on the SMF16 function, ensuring the firm meets all FCA regulatory requirements.
* Lead and develop the compliance team, embedding a strong compliance culture.
* Oversee regulatory reporting, risk management, and compliance monitoring frameworks.
* Provide expert guidance to IFAs, mortgage advisers, and senior leadership on compliance matters.
* Support the business through its growth and expansion, ensuring compliance remains at the core.
* Work autonomously, shaping the compliance function in line with business needs.
What They’re Looking For
✅ Strong experience in compliance leadership within financial services.
✅ In-depth knowledge of FCA regulations, particularly relating to Pensions, Investments and Mortgage advice.
✅ A proactive and strategic mindset with the ability to work independently.
✅ Strong communication skills to engage with senior management and advisers.
What’s on Offer?
🌟 A flexible working model – Liverpool-based office with hybrid options.
🌟 The chance to build and shape a compliance function in a growing firm.
🌟 Competitive salary and benefits.
🌟 Direct impact on the firm's regulatory framework and future success.
Interested? This firm is open to exploratory conversations with experienced compliance professionals.
📩 Apply now or contact us for a confidential discussion!