Compliance Director - High-net-worth financial planning company

Salary: £80,000 basic + Excellent and extensive Benefits

A rare leadership opportunity in a high-quality boutique financial planning company.

We are seeking an experienced Compliance Director with a background in financial planning / IFA businesses. Primarily Home-Based with occasional travel to London office and infrequent visits to satellite offices

This highly respected high net worth and ultra-high net worth boutique financial planning business is searching for a new Compliance Director. This is a significant appointment, created due to the planned retirement of the current incumbent. It offers the chance to step into a senior leadership role within a high-net-worth wealth management company where quality, professionalism and long-term client relationships sit at the heart of everything they do.

The business combines expert financial planning with wider private client tax expertise, creating a truly joined-up client proposition. Clients benefit from seamless advice across tax, wealth and long-term planning needs.

Key responsibilities:

• Lead compliance oversight across the regulated business
• Maintain and enhance risk management frameworks
• Ensure full alignment with FCA rules and regulatory expectations
• Oversee Consumer Duty implementation and evidencing of good outcomes
• Conduct suitability reviews on complex client files and cases
• Provide expert guidance to advisers and senior leadership
• Work closely with the current Compliance Manager
• Support the rollout of a new electronic document repository and enhanced audit trail processes
• Maintain MLRO responsibilities and financial crime controls

Compliance Director requirements:

• Strong understanding of FCA regulation, particularly COBS
• Experience holding senior compliance responsibility in an advisory environment
• Knowledge of pensions, investments, trusts and complex planning arrangements
• Strong suitability review experience
• Excellent understanding of Consumer Duty
• Gravitas and confidence engaging with senior partners and executives
• Strong communication, presentation and stakeholder management skills
• Commercial judgement with a pragmatic, solutions-led mindset

Compliance Director Benefits:

• The salary will be circa £80,000
• 28 days’ holiday
• Matched Pension scheme
• Private medical insurance
• Option to buy and sell holidays
• Health cash plan
• And more!