Head of Compliance -IFA & wealth management

  • Negotiable
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Page Executive
  • 18 Jun 18 2018-06-18

The Head of Compliance will report directly to the Chief Executive Officer with a dotted reporting line to the Executive Committee and the UK Board. the Compliance Officer will be responsible for developing, implementing and embedding the appropriate Compliance framework for the business to the standards required by the Financial Conduct Authority

Our client is a growing wealth manager with a newly acquired IFA business.


The Compliance Officer will provide adequate awareness training for staff on new and updated guidance from the regulator as well as remedial training where they felt necessary.

They will be the first point of contact for the regulator and provide appropriate reporting to external authorities and management

The compliance officer will sit with the investment team to help build a compliance culture in the firm.

Work closely with the business to ensure that compliance in more complex areas of financial advice were adhered to

They will produce and analyse management information, checking new business, financial promotions and approving technical planning

The Compliance Officer will assess tax related investment products, pension transfer and income drawdown.


A demonstrable track record as a CF10/CF11 approved person, or in a senior compliance role from an IFA business ideally, although insurance, pension and mortgage background will be considered.

Deep understanding of the application and role of compliance in an IFA, with a highly developed sense of judgement regarding the importance and priority of certain regulatory issues over others.

Ability to work in a small but growing business as a stand-alone compliance officer

Certified Chartered Financial Planner would be considered a plus

Job Offer

A competitive package and career progression is on offer