Job Description

At Walker Crips Group Plc, we believe that our success is driven by the success of our people. As the parent company to four FCA-authorised firms, we are committed to upholding the Consumer Duty principles to ensure positive outcomes for our customers. This commitment is supported by three key cross-cutting rules: acting in good faith, avoiding foreseeable harm, and enabling and supporting retail customers in achieving their financial objectives.





We are looking for a senior compliance leader to drive the strategy, oversight, and continuous improvement of our Compliance Advisory, Monitoring, Thematic, and Third-Party Oversight frameworks, with the opportunity to deputise for the Head of Group Compliance. This is a senior, visible, and Board-facing role responsible for providing independent assurance to the Group Board, supporting the SMF16s and SMF17s and regulators and ensuring that the Group's compliance and conduct risks are effectively managed. The role extends beyond advisory and monitoring program delivery to shaping compliance risk strategy, horizon scanning for regulatory change, and embedding a culture of accountability and continuous improvement across the Group.





As a key member of the WCG Compliance department, you will also be responsible for the day-to-day management of the Advisory and Monitoring Teams. A crucial part of this role will be to develop, motivate, and lead the teams, ensuring their potential is realised and the firm's objectives are met.

Key Responsibilities:

Strategic Compliance Assurance

Complete, own and maintain the Group-wide Compliance Risk Assessment, ensuring risks are identified, assessed, and aligned to business strategy and risk appetite. Design, direct, and continuously enhance the risk-based Compliance Monitoring, Thematic, and Third-Party Oversight Programs, ensuring they anticipate regulatory expectations and industry best practices. Translate monitoring insights into strategic recommendations for the Board, ExCo, and risk committees, enabling proactive risk management and cultural improvements.

Leadership & Governance

Lead, inspire, and develop a high-performing Compliance Monitoring and Compliance Advisory teams, fostering a culture of continuous improvement and accountability; setting professional standards and ensuring succession planning. Provide senior leadership across governance structures, with direct accountability for presenting advisory and monitoring outcomes at the Board, Audit & Risk Committee, Financial Crime Committee, Compliance Management Committee, Compliance Team Meetings and other sub-committees as appropriate. Produce clear, insightful reports for senior stakeholders, including Compliance Management Information (MI) related to Horizon Scanning, Monitoring, Thematics, and Third-Party Oversight. Deliver essential compliance training to staff. Deputise for Head of Group Compliance &MLRO. Act as a trusted senior advisor to SMF16s, SMF17s, the CRCO, and business leaders, ensuring second-line independence while constructively challenging first-line controls.

Regulatory Engagement & Horizon Scanning

Track and implement new regulatory developments to ensure continuous compliance. Serve as the primary point of contact with regulators on matters relating to compliance monitoring and thematic reviews. Lead horizon scanning to identify regulatory and market developments, embedding them into monitoring plans and strategic business responses. Represent the firm at industry events, professional networks, and external forums, ensuring WCG maintains a strong and proactive regulatory reputation.

Methodology & Continuous Improvement

Champion adoption of data-driven monitoring, analytics, and thematic reviews to improve effectiveness and efficiency. Maintain and manage all information, data, and records within the Compliance Monitoring Team, ensuring their safekeeping, accessibility, searchability, and up-to-date status. Champion robust documentation, reporting methodologies and procedures across all compliance advisory and monitoring activities to ensure transparency, consistency, and regulatory readiness. Drive issue remediation oversight, including root cause analysis, action-tracking, and closure validation, ensuring consistent and effective outcomes and senior management accountability.

Stakeholder Collaboration

+ Work in partnership with senior leaders and first-line leaders to ensure findings are well understood and acted upon while providing guidance and constructive challenge to enhance controls and compliance. + Provide challenge and guidance to improve the design and effectiveness of controls across all business areas.
+ Support during internal and external audits.
+ Support the CRCO and Head of Group Compliance in Group-wide assurance activities, Board reporting, due diligence projects, assurance activities and other strategic compliance initiatives.

Education and Experience:

Degree educated Relevant qualifications (e.g., ICA, CISI, or equivalent) Strong working knowledge of the UK regulatory framework, including the FCA Handbook and Consumer Duty Significant experience in a senior compliance monitoring role and in regulatory change within an FCA-regulated firm, ideally in wealth management, stockbroking or investment platforms In-depth understanding of financial markets, products, and the investment management and financial planning industry (wealth management)

Other Requirements:

A proven ability to design, deliver, and lead risk-based compliance advisory and monitoring programs. Excellent communication and stakeholder engagement skills, with confidence in challenging and influencing at senior levels. Exceptional organizational skills. A track record of leading and developing high-performing teams. Strong analytical and report-writing skills, with the ability to translate technical findings into actionable business recommendations. Experience using data and analytics to enhance compliance monitoring is advantageous * Experience working in Financial Planning and Pensions desirable