London | Hybrid Working | 150,000 – 200,000 Base + BonusBarclay Simpson is partnering with an international brokerage to appoint a Head of Compliance (SMF16/17) 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 RoleReporting into Group Compliance leadership, the successful candidate will hold SMF16/17 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 SMF16/17 responsibilitiesManaging FCA engagement and regulatory communicationsStrengthening governance, compliance monitoring and reporting frameworksOverseeing CASS controls, reconciliations and regulatory reporting obligationsAdvising senior management and the Board on UK regulatory mattersSupporting business growth initiatives and future regulatory developmentsPartnering with global compliance and operational teams across jurisdictionsEnsuring robust compliance infrastructure within a scalable brokerage platformThis is a highly visible role offering direct interaction with senior executives and global stakeholders.Candidate ProfileWe are seeking an experienced compliance professional with strong FCA credibility and brokerage sector expertise.Key requirements include:Current or previous SMF16 and SMF17 approvalStrong knowledge of FCA Handbook, CASS and investment firm regulationExperience within a brokerage, broker-dealer or trading platform environmentStrong FCA relationship management experienceAbility to operate confidently in a fast-paced, commercially driven businessStrong communication and stakeholder management skillsPragmatic and solutions-oriented mindsetCandidates from institutional brokerage, multi-asset trading or professional client environments will be particularly relevant.Why Apply?Senior SMF leadership role within an international brokerageDirect exposure to executive leadership and strategic projectsOpportunity to shape and strengthen the UK compliance frameworkHybrid working environment based in Canary WharfCompetitive package up to 200,000 base plus bonusFor a confidential discussion regarding this opportunity, please contact NE@barclaysimpson.comWe seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.
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Barclay Simpson Corporate Governance Recruitment Recruitment Team
