Head of Compliance - Wealth Management Group

My client, a growing Wealth Management Group, is looking to hire a Head of Compliance (SMF 16) to play a critical role in ensuring adherence to regulatory standards and fostering a culture of compliance throughout the organization.

Reporting directly to senior management, you will provide expert guidance on regulatory matters, oversee compliance operations, and lead initiatives to uphold the highest standards of integrity and transparency. Candidates should ideally have strong compliance experience in wealth/asset management and may have held SMF16/SMF17 roles previously.

Qualifications and Experience:

• Extensive experience in compliance roles within the financial services sector, with a focus on wealth management/ asset management.
• Thorough understanding of FCA regulations, including COBS, SYSC, CASS, COLL, PROD, CD, MiFIDPRU, and AML/CTF legislation.
• Proficiency in interpreting UCITS regulations and financial promotions rules.
• Strong leadership and team management skills.
• Excellent communication and interpersonal abilities, with the capacity to engage stakeholders at all levels.
• Relevant professional qualifications (e.g., CISI Diploma in Investment Compliance, ICA Diploma in Governance, Risk, and Compliance) preferred.

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