Head of Compliance (SMF16 & SMF17)

London | Hybrid Working

Competitive Salary + Bonus + Equity Incentives
 

An exciting opportunity has arisen for an experienced compliance professional to join a rapidly growing, technology-driven wealth management business as Head of Compliance.

This is a senior leadership position offering the opportunity to shape and oversee the firm's regulatory, compliance, and financial crime framework whilst working closely with the founders and executive team. The successful individual will hold SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) responsibilities and play a key role in supporting the continued growth of an innovative FCA-regulated business.
 

The Opportunity

Our client is a forward-thinking wealth management firm that combines technology with high-quality financial planning and investment solutions. Having established a strong reputation within the market, the business is entering an exciting phase of growth and is seeking a commercially minded compliance leader who can balance robust governance with strategic business support.

This role offers significant visibility across the organisation and the opportunity to influence decision-making at the highest level.
 

Key Responsibilities

• Act as SMF16 (Compliance Oversight) and SMF17 (MLRO).
• Provide strategic compliance guidance to senior management and the Board.
• Maintain and enhance the firm's compliance monitoring programme.
• Oversee regulatory reporting and FCA engagement.
• Ensure ongoing compliance with FCA rules, Consumer Duty requirements, and wider regulatory obligations.
• Lead the firm's financial crime, AML, and sanctions framework.
• Develop and maintain policies, procedures, and governance controls.
• Conduct risk assessments and provide regulatory advice on business initiatives and change projects.
• Deliver compliance training and promote a positive compliance culture throughout the business.
• Support the firm's growth plans whilst ensuring appropriate regulatory oversight and risk management.
   

About You

Applicants should possess:

• Previous experience operating in a senior compliance leadership role within an FCA-regulated wealth management, financial planning, investment management, or broader financial services environment.
• The capability and credibility to perform SMF16 and SMF17 responsibilities.
• Strong knowledge of FCA regulation, Consumer Duty, AML requirements, and the Senior Managers & Certification Regime.
• Experience engaging with regulators and senior stakeholders.
• Commercial awareness and the ability to provide pragmatic, solutions-focused compliance advice.
• Excellent communication and leadership skills.
   

Package

• Competitive basic salary
• Discretionary annual bonus
• Equity/share incentive opportunity
• 27 days holiday
• Pension contribution
• Private Medical Insurance
• Income Protection
• Death in Service cover
• Flexible hybrid working arrangements
• Ongoing professional development support
• High-quality home office equipment provided
   

This is an excellent opportunity for an ambitious compliance professional seeking a visible and influential leadership role within a modern, fast-growing financial services business.

Sector:

1. Financial Services
2. Financial Planning