Head of Compliance

THE COMPANY:

Our client is a successful investment platform based in the City.  They are looking to hire a Head of Compliance, supporting the Chief Compliance Officer (SMF16) in the day-to-day delivery of the Compliance Plan.

THE RESPONSIBILITIES:

• Support the Chief Compliance Officer in overseeing delivery of the annual Compliance Plan, ensuring activities are robust, risk‑based, and aligned to the firm’s regulatory obligations.
• Proactively identify, assess, and manage compliance risks across the platform, ensuring effective escalation and oversight.
• Ensure senior stakeholders are fully informed of key regulatory risks, issues, and developments, including changes in rules, guidance and enforcement themes.
• Lead or support regulatory projects across the business.
• Ensure the compliance framework remains comprehensive and proportionate to the firm’s nature, scale, complexity, and customer/product profile.
• Influence and challenge senior stakeholders to ensure the firm operates within risk appetite and regulatory expectations.
• Maintain strong internal relationships, promoting transparency, collaboration and accountability for regulatory compliance.
• Ensure businesses maintain appropriate permissions and continue to meet all FCA threshold conditions.
• Support the development and delivery of compliance training and briefings.
• As required, support the Chief Compliance Officer in preparing high‑quality Compliance updates, papers and reports for the Executive Committees, Audit & Risk Committees and Boards.
• Lead by example to foster a culture of compliance and provide day-to-day compliance guidance and coaching to the Compliance team to strengthen advisory capability.
• Effectively manage the Compliance team (including two Senior Compliance Managers and wider team), setting clear objectives and ensuring high‑quality delivery.
• Lead the interpretation and implementation of FCA and PRA rules, guidance, and policy changes, ensuring controls and processes remain robust.
• Provide SME thought leadership on complex and strategic regulatory and conduct matters.
• Ensure that emerging regulations are well understood and implemented within regulatory deadlines.
• Work across the business to develop pragmatic, compliant solutions to commercial and operational challenges, while positively influencing compliance culture.
• Support, manage and oversee regulatory relationships, including responding to regulatory enquiries and coordinating any supervisory visits or requests for information.
• Oversee, and support where required, that all regulatory reporting requirements and notifications are met.

EXPERIENCE REQUIRED:

• Proven experience as a Head of Compliance, Deputy Head of Compliance, or equivalent senior compliance leader, with responsibility for managing and developing a team of compliance professionals.
• Demonstrable ability to deliver clear, risk‑based opinions and challenge senior business leaders (including SMFs) on matters relating to strategy, product design, customer outcomes, and the adequacy of processes and controls.
• Excellent understanding and practical working knowledge of FCA rules relevant to wealth management and investment platforms (e.g. SYSC, PRIN, CASS, COBS, PROD).
• Strong knowledge of key legislation, including FSMA and MiFID II, and how these apply in a UK‑regulated investment context.
• Solid working knowledge of the Solvency UK regime and its application to regulated investment and insurance‑linked activities.

For further information please contact Duncan Jeffery