Head of Compliance & Lead T&C Supervisor
Birmingham (Hybrid – 3 days office / 2 home) · Up to £70,000 + benefits
Privately owned national wealth management group
Most Head of Compliance roles hand you a finished framework to police. This one hands you the framework to build.
Our client is a privately owned wealth management group with offices in Birmingham and London – a boutique, advice-led business that treats clients as individuals, not a collective. What sets it apart for a compliance professional is simple: it has made significant, deliberate investment in its systems and controls, so diligence is genuinely part of how the firm operates rather than a bolt-on.
It is also part of an acquisitive national group that continues to integrate IFA practices across the UK. This is a compliance function that is scaling, not standing still.
The role
Reporting to the COO and supporting the SMF16/17 holder, you will own compliance oversight and the Training & Competence scheme across the group’s authorised firms, with a Compliance Associate as your direct report. You will:
- Own, manage and drive the T&C scheme – new-starter and ongoing competence – working alongside SMF3 supervisors and overseeing client file reviews and management information.
- Lead risk-based compliance monitoring, and own RegData, Consumer Duty and AR/IAR reporting.
- Review regulatory due diligence on potential acquisitions and make recommendations to the Board.
- Maintain an open, Principle 11 relationship with the FCA and handle regulatory reporting and enquiries promptly.
- Oversee financial promotions, complaints handling, PI adequacy and the firm’s systems and controls.
- Produce the annual compliance report and keep senior management ahead of regulatory change.
Why it’s a strong move
A build-and-own mandate with real board visibility – not a monitoring checklist. Because the group is acquisitive and multi-entity, you get genuine variety: due diligence, integration and group-level oversight as the business grows – inside a firm that already takes its systems and controls seriously, so you are improving a strong foundation rather than firefighting a weak one.
What we’re looking for
- Minimum two years in a similar compliance role (flexible for the right person).
- Level 4 Diploma (RQF) as a minimum; a supervisory qualification is desirable.
- Detailed, current knowledge of the FCA rulebook relevant to the role – SYSC, COND, Consumer Duty, the T&C regime and SM&CR.
- The judgement to find pragmatic, compliant solutions and the credibility to influence advisers and senior management.
- Fit and proper: honesty and integrity, competence and capability, financial soundness.
Package
- Salary up to £70,000.
- Hybrid working – 3 days in the Birmingham office, 2 from home.