Head of Compliance | SMF16 | Wealth Management
A standout opportunity to take full ownership of the compliance function at one of the UK's most innovative and purpose-driven financial planning businesses at a genuinely exciting moment in their growth story.
Our client is a fast-growing, FCA-regulated financial planning business backed by a well-capitalised, market-leading group. They operate with a strong compliance culture and have recently completed a significant acquisition that has expanded both their client base and regulatory footprint.
The compliance function is lean, well-resourced and respected at board level. They've invested meaningfully in their regulatory infrastructure and expect their Head of Compliance to be a genuine business enabler and senior voice across the organisation. Reporting directly to the Chief Risk Officer and working closely with the board, you will hold the SMF16 function and take full accountability for the firm's compliance framework. Further headcount growth planned.
Key Responsibilities
* Holding and fulfilling the SMF16 function under SMCR, with FCA approval required
* Owning and evolving the compliance monitoring framework across financial advice, investments and platform operations
* Taking accountability for financial promotions oversight
* Leading compliance integration workstreams following a recent acquisition
* Acting as the primary liaison with the FCA and relevant regulatory bodies
* Overseeing SMCR obligations across the business, including SMF16 and SMF17 holders within the team
* Board and Risk Committee reporting, horizon scanning and regulatory change implementation
* Supporting the wider build‑out of the compliance team
Experience Required
* Proven senior compliance experience within an FCA‑regulated firm, ideally with exposure to financial advice, wealth management or investment platforms
* Strong working knowledge of Consumer Duty, MiFID conduct requirements and SMCR
* Previous experience holding or deputising for an SMF16 function, or a demonstrable readiness to step into it
* CII Level 4 or equivalent pension and investment advice qualification required
* Technically strong but equally comfortable operating in a fast‑moving, technology‑led environment
* A decisive, commercially-aware operator, someone who can make confident decisions and bring people with them
The business moves quickly, expects its senior leaders to pivot when needed and values those who see compliance as an opportunity to build something great rather than simply maintain it.
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