Head of Compliance

Head of Compliance (SMF16/17)

Location: Remote with monthly travel

Salary: £80,000 to £85,000

An established financial planning and wealth management business is looking to appoint a Head of Compliance to take on SMF16 and SMF17 responsibility. The perfect blend between a strategic and hands on role.

This is a senior, highly visible role reporting to the Managing Director, with an independent escalation line into the Chair. You will lead compliance, risk and financial crime while remaining hands-on across file checks, monitoring, training, FCA returns, policies and regulatory reporting.

You will do

• Hold SMF16 and SMF17 responsibility.
• Lead compliance, risk and financial crime.
• Act as MLRO.
• Own the compliance monitoring plan.
• Report to the Board and senior management.
• Manage FCA correspondence, returns and regulatory change.
• Oversee risk registers, controls, incidents and governance.
• Support financial promotions, complaints, SMCR and certification.
• Provide compliance input into future M&A activity.
• Remain hands-on with file checks, training and monitoring.

You will get

• A senior leadership role with Board-level exposure.
• A broad remit across compliance, risk, financial crime and governance.
• £80,000 to £85,000, with flexibility for the right person.
• Discretionary bonus, employee options and wider benefits.
• Equity options

You will bring

• Experience in an IFA, wealth management or financial planning business.
• Current or previous SMF16 and SMF17 experience preferred.
• Strong FCA, SMCR, compliance monitoring and financial crime knowledge.
• MLRO experience or strong financial crime oversight.
• Confidence reporting to and challenging senior stakeholders.
• A hands-on approach across file checks, monitoring, training and returns.
• Strong commercial judgement and a practical approach to compliance.

Apply now to be considered for the opportunity.

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