Head of Compliance

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.

£‑£

This role is a generalist Head of Compliance with a focus on SMF
16, 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.

• Ensuring the firm complies with all applicable FCA regulatory requirements
• Acting as the Compliance Oversight Function, including appointment as SMF
  16
• Acting as the Money Laundering Reporting Officer, including appointment as SMF
  17 (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

• 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

• 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

Director

Full‑time

Legal

Location:

London, England, United Kingdom