Head of Compliance

Job Description Head of Compliance Barnsley c.80,000 + BenefitsOur client is a well-established and forward-thinking Independent Financial Adviser (IFA) firm, committed to delivering expert, client-focused financial planning and wealth management services. They are seeking an experienced Head of Compliance to lead and develop their compliance function. As Head of Compliance, you will be responsible for overseeing all aspects of regulatory compliance across the business. Reporting to the Board, youll play a key role in maintaining their FCA permissions, embedding a culture of compliance, and safeguarding the firm and its clients against regulatory risk.Role & Responsibilities: Lead the development, implementation, and continuous improvement of the firms compliance frameworkMonitor and ensure adherence to all applicable FCA rules and guidelines Prepare and submit all necessary regulatory reports and returnsProvide advice and support to senior management, advisers, and staff on compliance mattersConduct file reviews, adviser monitoring, and risk assessmentsLiaise with the FCA and other regulatory bodies when requiredDeliver regular compliance training and maintain up-to-date policies and proceduresDo you have the following to apply? Proven experience in a Compliance role within an IFA or wealth management environment.Strong understanding of FCA regulations and financial planning principles.Diploma qualified (DipPFS or equivalent) as a minimum.Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.Clayton Davies is acting as an employment agency on behalf of our client.

Created: 2025-07-06