Head of Compliance & Governance

Bristol area 4 or 5 days per week £75,000-£87,500 FTE, pro rata

This is a senior opportunity for an experienced compliance professional who wants a broad remit across both financial planning and investment management, with the potential to take on greater regulatory responsibility as the role develops.

You will join an established wealth management business looking for someone who can provide robust oversight while taking a practical approach to compliance - protecting the firm and its clients without unnecessarily restricting how the business operates.

The Business

The business operates across both financial planning and investment management, providing a varied regulatory environment and a broader remit than a role focused solely on financial advice.

There is already compliance resource in place, so this appointment will sit above the existing function, providing senior oversight and helping shape the firm's approach to compliance and governance.

The Role

You will take senior responsibility for compliance and governance across both sides of the business.

Your remit will include:

• Oversight and management of the compliance function
• Governance across financial planning and investment management
• Developing and maintaining compliance policies and processes
• RMAR submissions and FCA reporting
• Providing practical regulatory guidance across the business

Depending on your experience and interests, there may also be scope for the position to broaden beyond the core compliance function. One area discussed is supporting improvements to report-writing standards within the financial planning team.

The longer-term intention is for the successful person to work towards taking SMF16/17 responsibility , potentially within approximately 12 months, subject to the individual and the relevant regulatory approvals.

What they are looking for

CII Chartered status is essential for this position.

You will need senior compliance experience within regulated financial services and the ability to apply regulation in a practical, commercially aware way.

Experience or exposure to investment management would be particularly useful.

Previous experience within financial advice or another commercially focused role would also be beneficial, giving you an understanding of the balance between effective regulatory oversight and the realities of running a financial services business.

Benefits

• £75,000-£87,500 FTE
• Four or five-day working week available
• Salary pro rated for a four-day week - approximately £60,000-£70,000
• Opportunity to progress towards SMF16/17 responsibility
• Scope for the role to broaden over time
• Senior position spanning both financial planning and investment management

Given the seniority of the appointment, regular office presence in the Bristol area will be important. There will also be occasional travel to London.

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