Interim Head of Compliance Frameworks

Head of Compliance – Framework & Insights

A UK wealth and investment platform is seeking a Head of Compliance – Framework & Insights to take ownership of its compliance framework and lead second-line regulatory change, horizon scanning and regulator insight across the group.

This is a senior 2LoD leadership role reporting to the Director of Compliance, with a clear expectation to deputise for the Director across key committees and to build and maintain an active relationship with the FCA. You’ll shape how the business interprets and responds to a fast-moving regulatory agenda, and translate that into proportionate, commercially minded advice for leadership and the Board.

What you’ll do

• Own the compliance framework and policies across the group — keeping them current, proportionate, measurable and fit for purpose, and joined up with the wider risk, financial crime and operational risk frameworks.
• Lead regulatory change and horizon scanning in the second line, interpreting proposed change, triaging oversight across the F&I and Advice teams, and helping the group develop appropriate strategic responses.
• Deliver regulator sentiment analysis and insight to ERC, ELT and Board, giving leadership a clear read on the regulator’s priorities and the firm’s current standing.
• Act as a primary point of contact for the FCA, supporting the Director of Compliance on regulatory liaison, engagement records, and high-quality packs and pre-briefings for periodic meetings.
• Lead the annual Compliance Effectiveness Report and Compliance Risk Assessment, working cross-functionally to deliver for the Director of Compliance.
• Coordinate consultation responses on behalf of the group and support the Public Affairs team’s strategic policy engagement.
• Contribute to governance and reporting through the Regulatory Governance Forum, ERC and BRC, assessing regulatory risk exposure against appetite.
• Lead and develop a team of five, setting objectives, managing performance and building a high-performing, collaborative F&I function.

What we’re looking for

• Significant second-line compliance leadership experience within UK financial services, ideally wealth, investment or platform businesses.
• Strong working knowledge of the FCA and a track record of building credible regulator relationships.
• Depth across regulatory change, framework and policy ownership, and compliance effectiveness reporting.
• The commercial and client focus to advise leadership on pragmatic, proportionate solutions.
• Proven ability to deliver through others and lead a talented team.

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