Head of Compliance Brokerage

Job reference: NE/44492

Sector:
Financial Services Region:
United Kingdom, London Closing date:
London | Hybrid Working | 150,000 – 200,000 Base + Bonus Barclay Simpson is partnering with an international brokerage to appoint a Head of Compliance (SMF
16/17) for its UK entity.

This is a senior FCA-facing leadership role within a globally established brokerage platform operating across multiple regulated jurisdictions.

The UK entity forms part of a wider international organisation with significant global scale and ambitious long-term growth plans.

This appointment is viewed as strategically important and will play a key role in strengthening the UK regulatory framework, enhancing governance standards and supporting the next phase of development for the business.

The Role Reporting into Group Compliance leadership, the successful candidate will hold SMF
16/17 responsibilities for the UK entity and act as the primary compliance contact for the FCA.The role will combine regulatory oversight, governance leadership and strategic advisory responsibilities within a fast-moving brokerage environment.

Key responsibilities include:

Leading the UK compliance function and holding SMF
16/17 responsibilities

Managing FCA engagement and regulatory communications

Strengthening governance, compliance monitoring and reporting frameworks

Overseeing CASS controls, reconciliations and regulatory reporting obligations

Advising senior management and the Board on UK regulatory matters

Supporting business growth initiatives and future regulatory developments

Partnering with global compliance and operational teams across jurisdictions

Ensuring robust compliance infrastructure within a scalable brokerage platform

This is a highly visible role offering direct interaction with senior executives and global stakeholders.

Candidate Profile We are seeking an experienced compliance professional with strong FCA credibility and brokerage sector expertise.

Key requirements include:

Current or previous SMF
16 and SMF
17 approval

Strong knowledge of FCA Handbook, CASS and investment firm regulation

Experience with in a brokerage, broker-dealer or trading platform environment

Strong FCA relationship management experience

Ability to operate confidently in a fast-paced, commercially driven business

Strong communication and stakeholder management skills

Pragmatic and solutions-oriented mindset

Candidates from institutional brokerage, multi-asset trading or professional client environments will be particularly relevant.

Why Apply?

Senior SMF leadership role within an international brokerage

Direct exposure to executive leadership and strategic projects

Opportunity to shape and strengthen the UK compliance framework

Hybrid working environment based in Canary Wharf Competitive package up to 200,000 base plus bonus

For a confidential discussion regarding this opportunity, please contact