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- 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 £145,000, bonus potential, and hybrid working.
- Other info: Dynamic role with significant career advancement opportunities in a fast-paced environment.
- Why this job: Shape the UK compliance framework and engage with senior executives on strategic projects.
- Qualifications: Experience in compliance, FCA knowledge, and strong communication skills.
The predicted salary is between 145000 - 145000 £ per year.
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.
- 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 £145,000 base plus bonus
For a confidential discussion regarding this opportunity, please contact NE@barclaysimpson.com
Head of Compliance Brokerage employer: Barclay Simpson
Contact Detail:
Barclay Simpson Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance Brokerage
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and brokerage sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by researching the company inside out. Understand their compliance challenges and think about how your experience can help them tackle these issues. Show them you’re not just another candidate; you’re the solution they need!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation and reiterate your interest in the role. It keeps you on their radar and shows your enthusiasm.
✨Tip Number 4
Apply through our website for the best chance at landing that dream job! We’ve got loads of resources to help you shine during the application process. Let’s get you into that Head of Compliance role!
We think you need these skills to ace Head of Compliance Brokerage
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance role. Highlight your experience with FCA regulations and brokerage environments, as this will show us you understand what we're looking for.
Craft a Compelling Cover Letter: Your cover letter should tell us why you're the perfect fit for this position. Share specific examples of your previous compliance work and how it aligns with our goals at StudySmarter.
Showcase Your Leadership Skills: Since this is a senior role, we want to see your leadership experience. Mention any teams you've led or strategic initiatives you've driven in your previous roles to demonstrate your capability.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. This way, we can easily track your application and get back to you quicker!
How to prepare for a job interview at Barclay Simpson
✨Know Your Regulations Inside Out
Make sure you’re well-versed in the FCA Handbook, CASS, and investment firm regulations. Brush up on recent changes and be ready to discuss how they impact compliance in a brokerage environment.
✨Showcase Your Leadership Skills
As a Head of Compliance, you’ll need to demonstrate strong leadership capabilities. Prepare examples of how you've led compliance functions or teams in the past, focusing on your strategic advisory roles and governance improvements.
✨Prepare for Stakeholder Engagement
You’ll be interacting with senior executives and global stakeholders, so practice articulating your thoughts clearly and confidently. Think about how you can effectively communicate complex regulatory matters in a way that resonates with non-compliance professionals.
✨Demonstrate a Solutions-Oriented Mindset
Be ready to discuss challenges you've faced in compliance and how you’ve approached problem-solving. Highlight your pragmatic approach and any innovative solutions you've implemented to strengthen compliance frameworks.