Job Description
Job Title: Deputy Head of Central Compliance & SMCR Strategy
Location: London
Department: Compliance – Central Compliance
Reports to: Head of Central Compliance
Role Overview:
We are seeking an experienced and strategic compliance leader to oversee and evolve the Central Compliance function, with a particular focus on SMCR governance, policy management, regulatory engagement, and oversight of key compliance frameworks. This is a hands-on leadership role requiring deep regulatory expertise, strong stakeholder engagement, and the ability to manage a wide remit across a multi-entity, FCA-regulated environment.
Key Responsibilities:
1. Lead the firm’s SMCR strategy, including managing policies, Statements of Responsibilities and leading SMF engagement through the full lifecycle (onboarding to offboarding).
2. Chair the firm’s quarterly SMCR Forum and act as the central point of coordination for individual accountability frameworks across regulated entities.
3. Oversee core Central Compliance activities including compliance policy development, training, regulatory registrations, complaints handling, conflicts and PA dealing, regulatory filings, and exchange returns.
4. Serve as the lead contact for regulatory audits, internal audit, and r...