This range is provided by Barclay Simpson. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Head of Compliance
Retail Investment Firm
Hybrid (3 days in-office, London)
We are working with a high-quality, fast-growing retail investment firm, focused on delivering attractive investment opportunities to high-net-worth and sophisticated retail investors.
This is an exciting, senior opportunity to join a small, ambitious firm where you will wholly own the regulatory compliance function, shape frameworks from the ground up, and play a key role in supporting the firm’s long‑term growth.
Base pay range
£140,000.00‑£180,000.00
The Opportunity
This role is a generalist Head of Compliance with a focus on SMF16, offering genuine ownership, autonomy, and influence. You will work closely with the senior leadership team in a lean, entrepreneurial environment where compliance is taken seriously and valued as a strategic function.
Key Responsibilities
* Ensuring the firm complies with all applicable FCA regulatory requirements
* Acting as the Compliance Oversight Function, including appointment as SMF16
* Acting as the Money Laundering Reporting Officer, including appointment as SMF17 (most financial crime work is outsourced)
* Managing FCA reporting, applications, and regulatory interactions
* Overseeing financial promotions, disclosures, and investor communications
* Designing, implementing, and maintaining robust compliance frameworks and controls
* Building and embedding a strong compliance culture as the firm grows
What We’re Looking For
* A senior compliance generalist with experience in FCA-regulated environments
* Strong understanding of retail investment regulation and financial promotions
* Comfortable operating independently in a small, fast‑moving firm
* Practical, solutions‑oriented mindset (not overly bureaucratic)
* Confident engaging with senior stakeholders and regulators
* SMF experience highly desirable
What’s on Offer
* Company performance bonus
* Hybrid working 3 days in London office
* Genuine ownership of compliance and operational risk
* Opportunity to shape and grow a function, not just maintain one
Seniority level
Director
Employment type
Full‑time
Job function
Legal
Location: London, England, United Kingdom
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