Head of Compliance

Posted by: Daintree Wealth Management

Employed By: Daintree Wealth Management

Job Title: Head of Compliance

Salary: £45,000 - £60,000

Contract: Part-time

Location: Manchester

Application Deadline: 1 July 2025

Key responsibilities:
In your role you will be responsible for, but not limited to:
• Overseeing the firm's compliance framework, ensuring adherence to FCA rules (especially under the Senior Managers & Certification Regime and Consumer Duty).
• Monitoring adviser activity to ensure compliant advice processes and documentation.
• Conducting file reviews, risk assessments, and internal audits.
• Completing all regulatory filings and submissions in line with FCA timelines.
• Keeping up to date with regulatory developments and updating policies accordingly.
• Providing training and guidance to advisers and support staff on compliance matters.
• Handling complaints, breaches, and regulatory reporting.
• Liaising with the FCA, compliance consultants, and other third parties as needed.
• Providing compliance expertise and advice for ad hoc projects eg acquisitions.  
• Creating and running a compliant onboarding process for new recruits.
• For new advisors, to take them though to becoming competent (CAS) including (but not limited to) observations, training and updating files and the FCA.

Benefits include:
25 days holiday plus bank holidays (pro-rated for part time hours)
Extra Day off for your birthday and a ‘Thank You’ day at Christmas
Medical cash benefits
Monthly contribution to Gym Membership
Pension contributions based on Total salary (salary sacrifice basis)
Employer pension contribution of up to 5%
Funding towards training for exams
Quarterly team days out

Employment terms
Offer is contingent upon successful completion of pre-employment checks and references.

How to apply
Email your CV and a covering letter to mark@daintreewm.com