Head of Compliance (Financial Advice)
Hybrid · London, England, United Kingdom
Job Summary
Head of Compliance to own and lead NOVA Wealth's compliance, risk and financial crime framework as the business scales in the UK. Act as a commercial partner to the management team, embedding Consumer Duty and a good-outcomes mindset across advice, product and operations. Maintain the relationship with the FCA and stay ahead of regulatory change through horizon scanning. Oversee advice quality and monitoring, with support from two Compliance Managers and outsourced specialists. Build and lead the compliance function, balancing risk with rapid growth, and foster a culture of excellence across the business. Requires senior compliance/risk leadership experience in a UK FCA-regulated firm, knowledge of FCA Handbook (COBS), Consumer Duty, SMCR and financial crime/AML, with a pragmatic, commercially grounded approach. Hybrid remote working with typical in-office presence in London (20 Farringdon Street) and collaboration with founders, advisers, marketing and product teams.
Required Qualifications
- Commercial mindset with ability to balance risk and opportunity
- Strong risk management experience in a regulated financial services business
- Significant senior compliance/risk leadership experience in a UK FCA-regulated firm (ideally scaling)
- Knowledge of FCA Handbook (COBS), Consumer Duty, SMCR and financial crime/AML
- Experience in or close to regulated financial advice is a plus but not required
- Startup/hands-on mentality; ability to work across functions and build processes
- Willingness to lead and develop the compliance function, including people, processes and tooling
- Proven ability to engage with the FCA and manage regulatory change through horizon scanning
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