At a Glance
- Tasks: Lead compliance for a major brokerage, ensuring regulatory standards and governance.
- Company: Join an international brokerage with ambitious growth plans and a strong global presence.
- Benefits: Competitive salary up to £145,000, bonus potential, and hybrid working options.
- Other info: Dynamic role with significant career advancement opportunities in a fast-paced environment.
- Why this job: Shape the UK compliance framework and work closely with senior executives.
- Qualifications: Experience in compliance, FCA knowledge, and strong communication skills required.
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 in London employer: Barclay Simpson
As a leading international brokerage, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our hybrid working model based in the vibrant Canary Wharf allows for a balanced professional and personal life, while our competitive compensation package and strategic leadership opportunities empower you to make a significant impact within the organisation. Join us to be part of a forward-thinking team that values compliance excellence and innovation in a fast-paced environment.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance Brokerage in London
✨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
Practice your pitch! You’ll want to clearly articulate your experience with FCA regulations and how it aligns with the role. Keep it concise but impactful – you want to leave a lasting impression.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take that extra step to engage with us directly.
We think you need these skills to ace Head of Compliance Brokerage in London
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 any previous SMF16/17 responsibilities. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Share specific examples of your compliance achievements and how they relate to the brokerage sector. We love a good story!
Showcase Your Communication Skills:As this role involves engaging with senior management and the FCA, it's crucial to demonstrate your strong communication skills. In your application, be clear and concise, and don’t shy away from showcasing your stakeholder management experience.
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Plus, it’s super easy!
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 the brokerage sector. This will show your expertise and readiness for the role.
✨Showcase Your Leadership Skills
Prepare examples of how you've led compliance functions in the past. Highlight your experience with SMF16/17 responsibilities and how you've managed FCA engagements. This will demonstrate your capability to take charge in a senior role.
✨Communicate Clearly and Confidently
Practice articulating your thoughts on complex regulatory matters in a straightforward manner. Strong communication is key, especially when advising senior management and the Board. Think about how you can simplify intricate topics for diverse stakeholders.
✨Be Solutions-Oriented
Come prepared with examples of how you've tackled compliance challenges in fast-paced environments. Show that you have a pragmatic mindset and can provide actionable solutions that align with business growth initiatives.
