Head of Compliance

2 weeks ago

Merseyside, United Kingdom MERJE Full time

LOCATION: MERSEYSIDE (HYBRID)

SALARY: COMPETITIVE PACKAGE


Head of Compliance SMF16 – Wealth Management Firm

Are you a seasoned compliance professional with a passion for the Wealth Management sector?


If so, MERJE are supporting a rapidly expanding wealth management firm dedicated to delivering tailored investment solutions to their valued clients. Due to continued growth and success, the firm are looking to recruit a Head of Compliance.


As the Head of Compliance, you will be at the forefront of ensuring our firm's adherence to regulatory standards and internal policies. Reporting directly to the Board, you will oversee all compliance activities, providing strategic leadership and guidance to maintain our reputation for excellence and regulatory integrity.


Key Responsibilities

  • Develop and implement a robust compliance framework aligned with FCA regulations and other applicable standards.
  • Lead the compliance team, providing mentoring, training, and performance management to ensure high standards.
  • Monitor regulatory developments, assess their impact, and advise senior management on necessary actions.
  • Conduct regular compliance risk assessments and ensure the effective delivery of monitoring plans.
  • Act as the primary point of contact for regulatory bodies, including handling notifications, submissions, and communications.
  • Review and approve financial promotions and client communications to ensure compliance.
  • Drive continuous improvement by embedding a culture of compliance across the organisation.


What We’re Looking For


  • Extensive experience in compliance within the wealth management or financial services sector.
  • In-depth knowledge of FCA regulations (Pensions and Investments).
  • Proven ability to manage and develop teams, with strong leadership and mentoring skills.
  • Exceptional communication and interpersonal skills, with the ability to engage effectively with stakeholders at all levels.
  • Highly analytical and detail-oriented, with the ability to interpret and apply complex regulations.
  • Relevant professional qualifications (e.g., ICA, CeMAP, CISI, or equivalent).


What We Offer

  • A competitive salary and benefits package.
  • Opportunities for professional development and career progression.
  • A supportive and collaborative work environment.
  • The chance to make a meaningful impact in a respected and growing firm.

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