Head of Compliance

1 week ago

St Albans, United Kingdom FS Talent Group Full time

Head of Compliance (SMF16/17) – Wealth Management

London / Hertfordshire

Hybrid

Circa £150k Plus Bonus and Benefits


About the Firm

A well-established and growing wealth management and advisory firm, with headquarters in the Southeast UK and multiple offices, is recognised as one of the leading companies in the industry. Over the past decade, the firm has experienced consistent growth, marked by successful acquisitions and a strong client base.


The firm’s ownership structure includes a significant partnership with an internationally respected financial services company known for its innovative, client-centric approach. This global parent company has a robust track record of growth and is publicly listed, serving tens of thousands of clients and managing substantial assets.


Role Overview

We are looking for an experienced Head of Compliance to join the leadership team of our rapidly expanding wealth management firm. Reporting directly to the Executive Committee and the compliance lead of the parent company, this strategic role is pivotal in shaping the firm’s compliance and risk frameworks while serving as the primary liaison with regulatory bodies.


Key Responsibilities

Compliance Leadership:

  • Lead and oversee the firm’s compliance framework and advise the board on all compliance matters.
  • Act as the main point of contact for regulatory interactions.
  • Develop and implement strategic initiatives to enhance and optimize compliance processes.
  • Anticipate and navigate complex compliance challenges to ensure the firm’s adherence to regulatory standards.

Risk Management:

  • Evaluate and evolve the current risk management framework.
  • Partner with key internal stakeholders to strengthen risk controls and operational risk processes.
  • Contribute to refining risk assessment and mitigation strategies to support the firm’s growth.
  • Oversee a team of compliance professionals, ensuring high performance and development.

Strategic Initiatives:

  • Drive compliance agendas in collaboration with the CEO.
  • Support the development and execution of the firm’s 3–5-year growth plan, including potential geographic expansion and larger strategic acquisitions.
  • Foster an organic, marketing-led growth strategy with careful compliance oversight.
  • Provide informed recommendations and maintain effective communication with the board and external regulators.


Qualifications & Experience:

  • Proven track record in senior compliance roles within financial services.
  • Strong leadership capabilities with experience managing teams and liaising with regulatory authorities.
  • A strategic mindset with the ability to develop and implement effective compliance and risk management processes.
  • Familiarity with complex operational environments and experience leading change initiatives.


Working Environment:

  • Hybrid working model, with a minimum of three days per week in the office. The primary location is in the Southeast UK, with periodic meetings at key business sites.

  • Risk Compliance Specialist

    2 weeks ago

    St Albans, Hertfordshire, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a skilled Compliance Risk Manager to join our proactive team at AJ FOX COMPLIANCE. In this role, you will work closely with the Head of Risk and Compliance, collaborating across the business to embed a strong compliance culture while providing expert guidance on a range of regulatory and risk issues.

  • Compliance Manager

    2 weeks ago

    St Albans, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique financial services firm based in St Albans, seeking a Compliance Manager on a permanent basis. This is a great opportunity for someone to work locally in a close-knit team.THE RESPONSIBILITIES:Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the...

  • Head of Tax Compliance

    4 days ago

    St Albans, Hertfordshire, United Kingdom PRO-TAX RECRUITMENT LIMITED Full time

    Job Title: Head of Tax Compliance\At PRO-TAX RECRUITMENT LIMITED, we are seeking an experienced Tax Portfolio Manager to manage the compliance for a portfolio of clients. This is an exciting opportunity for a qualified individual to join our dynamic team based in St Albans.\About the Role\\Routinely liaising with clients regarding income tax, IHT and...

  • Assistant Compliance Officer

    6 months ago

    St Albans, United Kingdom Outsourced Professional Administration Ltd Full time

    To provide Compliance assistance to the Head of Risk Compliance Officer. To support and contribute to the provision of a professional compliance interface between OPAL and its clients and maintain effective regulatory controls within the firm. Ensure all relevant regulatory requirements are met including the FCA’s Conduct Rules and Principles. Minimum 2...

  • Assistant Compliance Officer

    6 months ago

    St Albans, United Kingdom National Pharmacy Association Full time

    Job Advert **Assistant Compliance Officer - Permanent, Full Time** Do you have 3-5 years experience of working in a compliance role? Are you someone who has detailed and current knowledge of the PRA/FCA and other rules and guidance? Are you someone who has good working knowledge of the financial services industry with an emphasis on insurance and...

  • Regulatory Compliance Specialist

    1 month ago

    St Albans, Hertfordshire, United Kingdom Outsourced Professional Administration Limited (OPAL) Full time

    Job SummaryThe Compliance Manager will provide a critical function in ensuring that all relevant activities adhere to regulatory requirements. This includes collaborating with the Head of Compliance and Risk to ensure procedures and services delivered meet regulatory standards.Key ResponsibilitiesProvide Compliance and Risk oversight, including Data...

  • Compliance Manager

    4 months ago

    St Albans, United Kingdom Outsourced Professional Administration Limited (OPAL) Full time

    Job Mission: Provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements. Contribute to the Compliance team in association with the Head and Compliance and Risk to ensure procedures and services delivered adhere to the regulations that apply to a...

  • Compliance Manager

    4 months ago

    St Albans, United Kingdom Outsourced Professional Administration Limited (OPAL) Full time

    Job Mission: Provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements. Contribute to the Compliance team in association with the Head and Compliance and Risk to ensure procedures and services delivered adhere to the regulations that apply to a...

  • Compliance Manager

    4 months ago

    St. Albans, United Kingdom Outsourced Professional Administration Limited Full time

    Job Mission: Provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements. Contribute to the Compliance team in association with the Head and Compliance and Risk to ensure procedures and services delivered adhere to the regulations that apply to a...

  • Compliance Manager

    1 month ago

    St. Albans, United Kingdom Outsourced Professional Administration Limited Full time

    Job Mission:Provide Regulatory Compliance Service: Ensure all relevant activities adhere to appropriate regulatory requirements, providing a Compliance and Risk service to the firm and employees.Contribute to Compliance Team: Work with the Head of Compliance and Risk to ensure procedures and services delivered adhere to relevant regulations, contributing to...

  • Compliance Manager

    2 months ago

    St Albans, United Kingdom CV-Library Full time

    A friendly and professional Financial Services company based in St Albans are looking for a Compliance Manager. They are looking for Financial Services experience, preferably in the Investment and Life Protection sectors, with least 3 years in the Compliance sector. What’s in it for you: · Salary: up to £65k with some possible...

  • Compliance Manager

    3 weeks ago

    St Albans, United Kingdom Red Door Recruitment Full time

    A friendly and professional Financial Services company based in St Albans are looking for a Compliance Manager.They are looking for Financial Services experience, preferably in the Investment and Life Protection sectors, with least 3 years in the Compliance sector.What’s in it for you:· Salary: up to £65k with some possible flexibility for the right...

  • Head of Financial Compliance

    6 months ago

    St. Columb, United Kingdom TalentTide Full time

    **Head of Financial Compliance Needed for a Leading Company in Cornwall** My client is a top-notch company, leading the pack in innovation and employee satisfaction, and we're looking for a Head of Financial Compliance to join their team in Cornwall. Think you've got the number-crunching prowess and the strategic mind to fit the bill? Read on. **Here’s...

  • Head Of Probate

    6 days ago

    St Albans, United Kingdom Michael Page (Uk) Full time

    Exciting new Head of Probate role Great flexibility About Our Client The organisation is a well-respected professional services firm in St Albans with over 200 employees.With a solid reputation in the market, the firm provides a variety of services across sectors, continuously striving to exceed client expectations.Job Description Oversee the operations of...

  • Head of Quality

    4 months ago

    St Albans, United Kingdom X4 Life Sciences Full time

    Exciting opportunity: Head of Quality/ Qualified Person for a growing pharmaceutical manufacturer.If you are a seasoned Quality professional, based in or around St Albans, Hertfordshire, with leadership experience in the pharmaceutical industry, this role might be for you! This role will be on-site 5 days per week. Your Responsibilities:Responsible to...

  • Head of Quality

    4 months ago

    St Albans, United Kingdom X4 Life Sciences Full time

    Exciting opportunity: Head of Quality/ Qualified Person for a growing pharmaceutical manufacturer.If you are a seasoned Quality professional, based in or around St Albans, Hertfordshire, with leadership experience in the pharmaceutical industry, this role might be for you! This role will be on-site 5 days per week. Your Responsibilities:Responsible to...

  • Head of Als

    6 months ago

    St Albans, United Kingdom OAKLANDS COLLEGE Full time

    **Head of ALS** Full Time/ Permanent £49,920 - £54,549 - Depending on experience & qualifications Based across St Albans & Welwyn Garden City Campus We are seeking a dynamic and experienced individual to join our educational institution as the Head of Additional Learning Support. As a key member of our team, you will play a crucial role in promoting an...

  • Head of Probate

    1 day ago

    St Albans, United Kingdom Michael Page (UK) Full time

    Exciting new Head of Probate role Great flexibility About Our Client The organisation is a well-respected professional services firm in St Albans with over 200 employees. With a solid reputation in the market, the firm provides a variety of services across sectors, continuously striving to exceed client expectations. Job DescriptionOversee the operations...

  • Probate Division Head

    2 weeks ago

    St Albans, Hertfordshire, United Kingdom Michael Page (UK) Full time

    Job SummaryThe Probate Division Head will be responsible for leading a team of professionals in delivering high-quality legal services. The successful candidate will have a strong background in compliance and governance, with excellent leadership and communication skills.Key Responsibilities:Provide strategic direction for the team, ensuring the delivery of...

  • Head Of Reception

    2 weeks ago

    St Albans, United Kingdom Frossell Recruitment Ltd Full time

    Head of Reception Location: St. Albans Salary: Up to £40,000 Are you a strong leader with a passion for customer care and animal wellbeing?We're seeking a Head of Reception to manage a dedicated client care team within a premium veterinary setting.This role is perfect for someone with prior experience in the veterinary field who excels in people management...