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Head of Compliance, Financial Planning


Head of Compliance, Financial Planning




Tom Martin
This role can be summarise simply as "growing financial planning business are actively looking for a Head of Compliance; to both lead their Compliance function, and provide sound advice to senior stakeholders on all manner of Compliance issues as the business continues with their exciting, aggressive growth plans over the next 12-24 months and beyond!"

The day-to-day responsibilities would be as you would expect; working directly with the Managing Director and various other stakeholders in the design, implementation and evolution of robust Compliance frameworks in line with FCA requirements, as well as resolving any queries that crop up through acquisitions and taking a lead role in managing relationships with staff and the Compliance function. To quote the MD, they're not looking for someone who wants to sit in their ivory tower and tell them what they can't do; they want someone who will be hands on and will advise on what they can do!

If you are able to demonstrate experience within a similar senior-level role within the financial planning field, as well as the personality to match up to the requirements above, then this could be the ideal role for you, so apply now to find out more.

Please quote 46179 when calling Tom at Alexander Lloyd or email them at This is only one of many vacancies we are handling, Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC, MLRO etc. across the entire financial services sector; including investments, wealth/asset management, insurance and FX. We offer resourcing solutions - both in executive search and contingent recruitment - across the whole of the UK.

Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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