Senior Compliance Officer; WealthTech Platform

Reporting to: CEO, working alongside the regulated firm’s SMF
16 (Compliance Oversight) and SMF
17 (MLRO)

Company stage:Early-stage / scale-up Wealth Tech, approaching commercial launch

Icebrg is a London-based Wealth Tech firm building a next-generation Platform as a Service for modern investment managers. Our cloud-native, API-driven platform integrates custody, trading, portfolio management, reporting and compliance workflows into a single, institutional-grade solution. With live connectivity to Saxo Bank (sub-custody and execution),
Addepar (portfolio reporting) and a broad ecosystem of API-based services – including client KYC/AML, sanctions screening and market data – Icebrg enables scalable, compliant operations for wealth managers, asset managers and advisers.

Icebrg operates in partnership with an FCA-authorised partner firm – an established UK firm and London Stock Exchange member with over 30 years of regulated trading, custody and client-money experience. We currently operate in closed beta with live clients and are preparing for a commercial launch to a B2B audience of wealth managers, External Asset Managers (EAMs), IFAs, asset managers, independent investment managers and multi-family offices.

We are building the team that will take the platform to market. This is a rare opportunity to own and shape the compliance function of a regulated Wealth Tech platform from the ground up.

We are looking for an experienced Senior Compliance Officer to design, build and run the day-to-day compliance function as we move the platform from closed beta to commercial scale. This is a broad, hands-on compliance generalist role spanning regulatory conduct, financial crime, client assets and governance – not a single-discipline position.

As one of the first dedicated compliance hires, you will work closely with the CEO, the operations and technology teams, and the partner firm’s SMF
16 and SMF
17 holders to ensure compliance is embedded into our client journeys, controls and culture. You will translate the UK regulatory framework into practical, scalable processes that work for a technology-led business, and you will be the credible compliance voice in front of clients, partners and the regulator.

The role carries a genuine pathway to holding the SMF
16 (Compliance Oversight) and/or SMF
17 (Money Laundering Reporting Officer) functions, subject to experience, fitness and propriety, and FCA approval. It is ideally suited to someone who wants to combine operational, hands-on compliance work with the strategic build-out of a compliance programme in a fast-moving, regulated fintech environment.

• Regulatory Compliance & Advisory
• Build, own and continuously enhance the firm’s compliance framework for the platform business – policies, procedures, registers, controls and governance documentation.
• Provide practical, risk-based regulatory advice to the business across the FCA Handbook, including SYSC, the Principles for Businesses, COBS (conduct of business), and the rules applicable to a MiFID firm.
• Monitor regulatory developments and horizon-scan for change (e.g. Consumer Duty, financial crime, operational resilience, the evolving SDR/sustainability disclosure regime), assessing impact and coordinating implementation.
• Support FCA notifications, regulatory reporting (Reg Data returns), permissions and variation matters, and information requests.
• Review and approve financial promotions and marketing materials for the platform launch, ensuring communications are fair, clear and not misleading.
• Own and operate the firm’s AML, Counter-Terrorist Financing (CTF), sanctions and wider financial crime framework, in line with the Money Laundering Regulations 2017 and JMLSG guidance.
• Oversee customer onboarding and the end-to-end identity, KYC, KYB, CDD and Enhanced Due Diligence (EDD) processes – including for B2B clients (wealth managers, EAMs, IFAs) and their underlying clients.
• Review higher-risk relationships, politically exposed persons (PEPs), adverse media, sanctions matches and complex ownership structures; conduct ongoing monitoring and periodic KYC refreshes.
• Investigate…