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We are partnering with one of the UK's leading Financial Planning businesses, providing impartial, tailored advice to High Net Worth Individuals, Business Owner-Managers, and Trustees. This award-winning, fee-based, independent firm manages over £2.4 billion in client assets. As part of their continued growth, they are seeking a Compliance Director to join their Executive Leadership Team. This is a senior, influential role, working closely with the CEO and Board to drive a culture of compliance, ethics, and regulatory excellence while supporting the firm's ambitious growth plans. The Opportunity:
- Executive leadership role reporting directly to the CEO and the Board
- Oversight of all compliance functions across the financial planning and corporate finance practices
- Act as SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) - holding both is an essential requirement
- Lead a talented compliance team and help shape the business's regulatory strategy
- Represent the firm with the FCA and external regulatory bodies, ensuring complete adherence to FCA regulations and internal policies
- Provide hands-on compliance support for the corporate finance practice (a smaller part of the overall remit)
What We're Looking For:
- Proven experience holding SMF16 and SMF17 responsibilities within a regulated environment
- Financial Planning industry experience is essential, supported by a Level 4 Diploma as a minimum (Chartered status highly desirable)
- Strong working knowledge of FCA regulations and compliance frameworks within the retail financial advice and wealth management sector
- A strategic thinker with excellent leadership skills, capable of working at Board level
- High ethical standards, professional integrity, and a commitment to best practices
Why Apply?
- Play a pivotal role at the executive level in a thriving, growing firm
- Shape and lead a compliance function in a high-profile, client-centric business
- Benefit from a flexible, UK-wide role offering outstanding professional development opportunities
Important:Only candidates who have held SMF16 and SMF17 and have financial planning experience with a Level 4 Diploma or higher will be considered.
Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.
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At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.
