Head of Compliance

Head of Compliance

About Attivo:

Attivo are Lifestyle Financial Planners.

We're a privately owned company. We prefer it that way. It means we're free to do what we feel is best for our clients and our people. Our work is all about our clients. We pride ourselves on being completely transparent, open and honest – an approach that builds trust with our clients and inspires their financial confidence.

Our experienced, highly qualified financial specialists and expert support teams are committed to delivering more for all our clients. Our independent status and unique approach to understanding our clients, their preferences and their motivation, sets us apart. We will build and provide ongoing support for a bespoke financial plan aimed at fulfilment of our clients' lifestyle needs.

Whether you're a private client or a business accessing our corporate services, you can rely on a clear, consistent service from your Financial Planner and from our experienced teams.

Our culture is one of high performance, continuous development, and shared success. We promote from within and invest heavily in the progression of our people – because when our people thrive, so do our clients. We're proud to have been named one of the Professional Adviser's Best Financial Advisers to Work For 2025.

About the role:

As Head of Compliance, you will be responsible for leading our compliance function across the IFA business. This is a key leadership role, working closely with the Chief Risk Officer and other senior stakeholders to ensure that our advice, operations and culture meet the highest regulatory and ethical standards.

You'll take ownership of the Compliance Monitoring Programme, deliver effective oversight of advisers and acquisitions, and act as the first point of contact with the FCA. This is a Certified role and carries significant responsibility for maintaining our regulatory permissions and embedding a strong compliance culture across the business.

You will provide strategic insight and leadership on regulatory risk, influence operational decision-making, and drive continuous improvement in compliance systems, training, and controls. You'll also support the wider risk and governance framework, with direct responsibility for the performance and development of the compliance team.

About you:

You're an experienced compliance professional with a strong background in financial planning. You have an in-depth understanding of FCA rules and regulatory expectations, and you're confident managing complex risk, regulatory engagement, and business change.

You're an influential leader who can build trust with advisers, senior leaders and support teams. You can navigate technical complexity and translate regulatory requirements into clear, practical guidance. You're committed to raising standards, preventing risk, and championing ethical conduct in every area of the business.

You'll bring a high level of personal integrity, excellent communication skills, and a proactive, solutions-focused approach to managing compliance in a fast-paced and ambitious firm.

Key Responsibilities include:

• Lead and develop the Compliance team, ensuring strong capacity planning, robust performance management, and continuous improvement.
• Maintain and enhance the Compliance Monitoring Programme, ensuring effective risk identification, audit trails, and follow-up.
• Act as the first point of contact for the FCA, managing regulatory returns, thematic reviews, and ad hoc requests.
• Provide expert advice on FCA regulations (PRIN, COBS, SYSC, SM&CR), AML and financial crime, and relevant legislative changes.
• Develop and maintain compliance policies, manuals, and procedures, ensuring they are regularly reviewed and embedded.
• Deliver training and awareness programmes across the business to promote regulatory understanding and a culture of compliance.
• Monitor adviser activity including onboarding, file checks and complaints handling, ensuring suitability of advice and consumer duty oversight.
• Work with internal stakeholders and external compliance partners to ensure alignment, value for money and best practice.
• Provide regular reporting and insight to the CRO, Executive Team and Board, highlighting emerging risks and strategic implications.
• Support firmwide change initiatives, acquisitions and projects with appropriate compliance input.
• Review and approve marketing material and client communications.

Essential skills and experience:

• Previous experience in a compliance leadership role within a Financial Planning firm
• Detailed and current knowledge of FCA regulation and financial crime legislation
• Experience with compliance monitoring, risk frameworks and regulatory reporting
• Strong stakeholder management and communication skills
• Proven ability to lead and develop high-performing teams
• Analytical thinker with excellent attention to detail
• Highly organised, self-motivated and able to work under pressure
• Advanced Diploma in Financial Planning (Level 6)

Desirable skills and experience:

• Educated to degree level
• Chartered status (or working towards)
• Knowledge of Consumer Duty frameworks and SM&CR responsibilities

Salary and benefits:

Negotiable depending on experience and qualifications.

Attivo core benefits include:

• Non-contributory Pension Scheme (8%)

• Private Medical Insurance

• Income Protection

• Critical Illness

• Death in Service

• CashPlan

• Generous holiday allowance, rising with length of service

• Work from home and flexible working available

• Parking allowance for employees who live over 1.5 miles away from the office

• Excellent culture, promoting employee wellbeing and engagement

Recruitment Policy

Attivo is committed to being an Equal Opportunities employer. If you require reasonable adjustments at any stage of the recruitment process, please let us know and we will endeavour to make the process as accessible and as fair as possible.

Please be aware that any offer of employment will be subject to satisfactory completion of pre-employment vetting as outlined by the Financial Conduct Authority (FCA). This may include, but is not limited to, adverse financial history, criminal records, UK directorship and disqualifications check.

Attivo do not use recruitment agencies and respectfully ask that agencies do not contact us in regard to posts advertised on this site.

Privacy Policy

If we have received your details in response to a recruitment initiative, we will store the personal information that you have provided us. We process that information because it is in our legitimate interests to do so in order to make informed decisions about whether to interview you and, ultimately, recruit you.

We believe that you would reasonably expect us to process your personal information in this way and that such processing does not have an impact on you in a way that would make this processing unfair. Where your personal information is kept as part of a file relating to prospective employees of Attivo, we will retain that information and any information relating to that matter in case of future reference or queries.

Unless you request otherwise, we may also contact individuals you have referred to us, for example, referees. We will only do this with your express permission.

Please visit our website to view our full privacy policy for prospective employees.