Head of Compliance

Join a truly amazing team, revolutionising the world of investments!

About the Role
We’re seeking a self-motivated Head of Compliance to join our Cardiff based team to take ownership of all compliance, risk management and regulatory functions.

As well as having strong hands-on compliance experience, we’re looking for someone who is action-driven with a keen eye for detail, has a pragmatic approach, strong communication skills and the ability to build close working relationships with stakeholders across the business.

The Head of Compliance will play a key role in ensuring that best FCA, GDPR and RDR practices are maintained, and for maintaining a positive compliance culture across the business.

If you enjoy working with other professionals who believe in creating innovate solutions to problems, we encourage you to apply.


Key Duties & Responsibilities

  • Responsible for the Compliance Monitoring Programme, including testing, analysis, identifying improvements or remedial actions, and presenting findings to senior management and/or the Board
  • Assisting management in develop and implement a Risk Management Programme including organizing analysis, performing audits and making recommendations for risk mitigation
  • Reviewing and signing off financial promotions and other marketing material in accordance with FCA rules and internal policies
  • Client account monitoring processes for AML and market abuse.
  • Ensuring the effective implementation of company compliance policies and procedures
  • Working with other team members to manage the customer complaints process and helping where appropriate to resolve outstanding issues
  • Assisting with enquiries from the FCA, the Financial Ombudsman Service and other relevant authorities, in consultation with senior management, the Board, external compliance consultants and legal counsel as appropriate
  • Maintaining the FCA Approved Persons register entries for the company on an up to date basis
  • Keeping abreast of regulatory changes such as EMIR, FATCA and MiFID II, helping to identify how these changes impact the company and working to ensure that the firm remains compliant with the new legislation
  • Overseeing investigations of breaches or alleged breaches of regulations and/or company compliance policies, standards or procedures
  • Fostering an environment of regulatory awareness whilst instilling a positive, proactive culture towards the compliance function across the company.
  • Administering the Personal Account Dealing policy


About You
We want to make sure you are set for success and the job is right for you. We’d love to talk to you if you have all, or some of these skills and experiences:

  • 5+ years’ experience within a Compliance function in an FCA regulated financial institution
  • Understanding of the UK regulatory landscape ideally from working within Wealth Management / Stockbroking
  • Experience of providing governance, controls and compliance advice for new product development, and of producing compliance policies and processes
  • Advantageous if you have previously held CF10 and/or CF11 functions.


Key Skills

  • Excellent communication and influencing skills
  • Strong organisational and analytical skills
  • Exceptional management skills
  • Commercial awareness
  • Problem solving



  • Salary – commensurate to experience
  • Benefits package including company pension scheme, private health cover, income protection insurance, death in service benefit (3 x salary), childcare vouchers, cycle-to-work scheme
  • 25 days holiday per year plus bank holidays
  • Future share option / management incentive scheme participation
  • Brand new offices with free gym, games room (and a table tennis league!), unlimited bean-to-cup coffee and tea, and nearby free parking


This is a great chance to join a dynamic, fun and friendly company that’s really going places. If you would like to be considered for the role, please send a copy of your C.V. to jobs@wealthify.com