Head of Compliance SMF

Head of Compliance | SMF
16 & SMF
17 | Berkshire | Hybrid

I’m working with an established and highly successful financial planning business that is continuing to grow, both organically and through acquisition, and they are now looking to appoint an experienced Head of Compliance to lead their compliance and risk framework.

This is a senior role reporting directly to the CEO, with responsibility for both SMF
16 (Compliance Oversight) and SMF
17 (MLRO).

The business has ambitious growth plans and is looking for a compliance leader who can support that growth while ensuring the right regulatory framework, governance and controls are firmly in place.

You’ll work closely with the CEO, senior leadership and wider central teams, providing independent oversight, constructive challenge and pragmatic regulatory guidance.

A key part of the role will be strengthening and embedding the compliance framework following a period of significant growth and acquisition.

• Holding the SMF
  16 Compliance Oversight and SMF
  17 MLRO responsibilities.
• Developing and implementing a robust, risk-based compliance monitoring programme.
• Providing effective oversight of FCA regulatory requirements, systems and controls.
• Ensuring the firm continues to meet its regulatory obligations and threshold conditions.
• Overseeing the Training & Competence framework and adviser competence.
• Reviewing MI and emerging risks, providing clear reporting and challenge to senior management.
• Keeping the business ahead of regulatory developments and ensuring appropriate action is taken.
• Overseeing complaints, breaches, errors and remediation activity.
• Preparing for external compliance audits and ensuring actions are effectively implemented.
• Providing oversight of risk management, including the risk register and Risk Committee.
• Promoting a strong, positive compliance culture across advisers and support teams.
• Taking responsibility for financial crime and MLRO-related activity under SMF
  17.

We are specifically looking for someone who has held or currently holds an SMF
16 function with a financial planning / wealth management background.

• Proven senior compliance leadership experience, ideally at SMF
  16 level.
• Strong knowledge of the FCA regulatory environment and financial planning sector.
• Experience operating within an advice-led business.
• A pragmatic, commercially aware approach to compliance.
• The confidence to challenge senior and established stakeholders when required.
• Experience supporting businesses through acquisition and integration.
• The ability to introduce change without damaging established relationships or culture.
• Strong communication and influencing skills, with the credibility to work directly with advisers, senior management and the board.
• A long-term mindset — this is not a consultant-style engagement. We are looking for someone who wants to become a trusted part of the business and build strong relationships over time.