Head of Compliance

• Supporting the Chief Compliance Officer in overseeing delivery of the annual Compliance Plan
• Proactively identifying, assessing, and managing compliance risks across the Transact platform
• Ensuring senior stakeholders are fully informed of key regulatory risks, issues, and developments
• Leading and supporting regulatory projects across the business
• Being actively involved in regulatory regulations and communications
• Ensuring the compliance framework remains comprehensive and proportionate to the firm’s nature, scale, complexity, and customer/product profile
• Influencing and challenging senior stakeholders to ensure the firm operates within risk appetite and regulatory expectations
• Leading the provision of high‑quality, clear, and timely compliance advice to Executives, senior management, Audit & Risk Committees, and Boards
• Proactively ensuring strong and constructive relationships with regulatory bodies, including the FCA and PRA
• Embedding, maintaining, and continuously enhancing a robust and effective Compliance Framework across our UK regulated entities, IFAL and ILUK
• Managing two Senior Compliance Managers and overseeing a team of six compliance professionals

• Proven leadership capability
• Technical knowledge and sound risk judgement
• Ability to effectively communicate, adapt to changing priorities and apply pragmatic solutions
• Highly disciplined and execution focussed
• Deep knowledge of FCA rules relevant to wealth management and investment platforms (including SYSC, PRIN, CASS, COBS and PROD)
• Strong understanding of FSMA, MiFID II and the Solvency UK regime
• Resilient and calm under pressure
• Proven experience as a Head/Deputy of Compliance, or equivalent
• Track record of leading and developing high‑performing compliance teams
• Strong commercial awareness and attention to detail
• Communication skills to translate regulatory requirements into practical, effective business solutions
• Confident in engaging with the FCA through supervisory reviews, onsite visits and ongoing supervisory dialogue
• Ability to deliver clear, risk‑based opinions while providing robust challenge to senior leaders and SMFs
• Must thrive in a fast‑moving, complex environment, balancing multiple priorities while maintaining the highest standards of regulatory compliance
• Fostering constructive, influential relationships across the organisation

Previous experience designing, operating or overseeing effective risk and control frameworks, SM&CR, preparing Board and Exec Committee papers and presenting regulatory issues at senior governance forums

• Company discretionary bonus
• Excellent pension contributions
• Attractive staff share scheme
• BUPA health insurance
• Buying and selling of annual leave
• Sponsorship of relevant professional qualifications