Head Of Compliance

Head of Compliance (non SMR) Overview: As Head of Compliance (non SMR), you will be pivotal in ensuring Estate Capital Financial Management Limited and its sister company Crossing Point Investment Management Limited, who are a growing and developing DFM offering a Model Portfolio Service solution to IFA’s, to meet their regulatory obligations, embedding best practices and delivering proactive compliance strategies. This role offers the opportunity to deliver key compliance functions, drive business-wide regulatory initiatives and best practice, and nurture the growth of both businesses. The opportunity arises for those seeking either a part-time role with anticipation of a gradual move to full-time dependent on business’s growth and expansion or applicants seeking full-time based subject to experience and fit with firms’ requirements. What are the key responsibilities? • Ensure compliance with regulatory requirements including Complaint Handling, Conduct of Business rules and Consumer Duty requirements across both firms. • Monitor the compliance policy frameworks to ensure they adhere to FCA expectations, ensuring timely updates, relevance, and alignment with regulatory requirements. Regularly review and enhance core compliance processes to ensure they remain effective and fit for purpose. • Oversee accurate preparation and submission of regulatory returns in line with reporting obligations. • Provide expert compliance guidance across projects, embedding regulatory considerations from inception through delivery. • Conduct compliance reviews on client files, internal processes, and overall practices; • Produce insightful reports and recommendations supporting decision-making at the senior leadership level. • Provide training and updates on processes across internal teams to enhance compliance, operational efficiency collaboration, and professional growth. • Monitor and conduct training in line with T&C Supervision to support the Managing Director. • Complaint handling and subsequent root cause analysis skills to identify risks within the practice. What you'll have: • Proven experience in a senior compliance role within financial services, having practical knowledge of both an IFA practice and Discretionary asset management. • Demonstrated success in managing, and developing teams. • Project management abilities, with a track record of delivering regulatory initiatives. • IT & Analytical skills, with the ability to assess risk, interpret regulations, and provide clear, actionable advice. Knowledge& Skills Deep understanding of UK financial services regulations, particularly within investment and advisory services. • Strong interpersonal skills, with the ability to build relationships and influence change. • Excellent written and verbal communication skills, with the ability to present complex information in a clear and concise manner. • A meticulous approach to ensuring accuracy and compliance across all responsibilities and experience in building or enhancing compliance processes. • Flexible and creative thinker who can navigate diverse situations • Experience of Intelligent Office integrated working practices, including Genova Advice AI opportunities. Estate Capital Financial Management Limited are a Swansea based Chartered Financial Planner practice that was established in 2003. The firm has 4 advisors, with progression routes for those wishing to achieve IFA status. There are 11 support staff, including paraplanner and client service teams, and provide advice to a wide range of client demographics, ranging from high-net-worth individuals to group scheme management. The business has close links with Crossing Point Investment Management Limited who are a fast-growing Discretionary Model Portfolio Service available to IFA’s, also based in Swansea and formed in 2018. Crossing Point has currently 3 Investment Managers, 3 Analysts working towards IM accreditation and 3 administration support. What we offer: Working hours to be agreed, dependent upon experience and business needs • Salary bracket £50,000 to £80,000 • Holiday allowance on sliding scale based on length of service. 21 days, increasing up to 26 days plus 8 Bank Holidays per year. • Flexible working within office hours 8.00 am to 5pm • A pension scheme with matched contributions up to 8% • Sick pay • Statutory maternity, paternity, and shared parental leave • Calendar of regular social events • Professional qualification support

Location: Swansea, City and County of Swansea, GB

Posted Date: 9/9/2025