At a Glance
- Tasks: Lead compliance for a major brokerage, ensuring regulatory standards and governance.
- Company: International brokerage with ambitious growth plans and a strong global presence.
- Benefits: Competitive salary up to £200,000 plus bonus and hybrid working options.
- Other info: Dynamic role with significant visibility and career advancement opportunities.
- Why this job: Shape the UK compliance framework and engage with senior executives on strategic projects.
- Qualifications: Experience in compliance with FCA regulations and strong leadership skills.
The predicted salary is between 150000 - 200000 £ per year.
Job reference: NE/44492
Sector: Financial Services
Region: United Kingdom, London
London | Hybrid Working | 150,000 – 200,000 Base + Bonus
Barclay 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 Role
Reporting 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 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 SMF16 and SMF17 approval
- Strong knowledge of FCA Handbook, CASS and investment firm regulation
- Experience within 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.
Head of Compliance Brokerage in Vauxhall employer: Barclay Simpson Corporate Governance Recruitment
As a leading investment bank located in London, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our commitment to innovation in quantitative analytics offers unique opportunities for professionals to influence pricing models across multiple asset classes while collaborating with top-tier teams. With competitive compensation packages and a focus on continuous improvement, we are an excellent employer for those seeking meaningful and rewarding careers in the financial services sector.
Contact Details:
Barclay Simpson Corporate Governance Recruitment Recruitment Team
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