Job Description We are recruiting for a growing boutique Independent Financial Adviser (IFA) firm seeking an experienced, commercially minded Head of Compliance to hold the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) functions. This is a senior leadership role for an individual who can embed a practical, business-focused compliance culture while ensuring the firm continues to meet the highest regulatory standards. You will have a proven track record of developing and implementing effective compliance frameworks that support commercial growth rather than hinder it. Producing AML annual reports and fulfilling MLRO responsibilities. Designing and delivering risk-based Compliance Monitoring Programmes. Conducting high-quality advice file reviews and providing constructive feedback. Developing, implementing and continuously improving compliance policies, procedures and controls. Maintaining accurate regulatory records and management information. Managing complaints across all areas of financial advice. Supporting GDPR compliance and data governance. Diploma in Regulated Financial Planning (or equivalent). Relevant compliance qualifications. Up-to-date Continuing Professional Development (CPD), including regular engagement with FCA publications, regulatory updates and industry forums. You will have experience implementing compliance technology and using systems to improve oversight, efficiency and reporting. You will understand how technology can enhance adviser support while maintaining robust regulatory controls. Anti-Money Laundering regulations. Financial promotions. Complaints handling. Data protection and GDPR. Adviser remuneration structures, including the effective use of non-financial incentives to drive positive behaviours. Takes a pragmatic and commercially aware approach to compliance. Builds bespoke compliance frameworks that fit the firm's culture and operating model, rather than relying on generic templates. Is confident presenting to senior leadership and Board meetings, where performance and regulatory oversight will be challenged. Collaborates effectively with advisers and operational teams to embed compliance into everyday business processes. Drives continuous improvement and operational efficiency while maintaining excellent regulatory standards. Is adaptable, forward-thinking and comfortable navigating an evolving regulatory, technological and economic landscape. This is an opportunity to play a key role in the continued growth of a successful boutique IFA business with significant assets under management. You will help shape the firm's compliance strategy, ensuring that compliance is viewed as a business enabler—supporting advisers in delivering outstanding client outcomes while maintaining the highest standards of governance and regulatory oversight. Collaborate effectively with advisers and operational teams to embed compliance into everyday business processes while retaining clear and consistent ownership of compliance decisions. Drives continuous improvement and efficiency within the compliance function to help maintain operational efficiency while maintaining excellent regulatory standards. Review and pre-approve higher-risk advice cases, including pension switches, EIS, VCTs, IHT planning and other complex recommendations. Provide compliance guidance to advisers, paraplanners and support staff throughout the advice process. Support the Investment Committee in maintaining a compliant and well-governed Centralised Investment Proposition (CIP) and Centralised Retirement Proposition (CRP). Work with operations, paraplanning and administration teams to maintain compliant processes and implement regulatory improvements. Deliver compliance training and guidance to advisers and support staff, promoting a strong culture of regulatory compliance and continuous improvement.
Senior Compliance Monitoring in London employer: Blakemore Recruitment
Join a prestigious UK private banking organisation in the heart of London, where you will be part of a dynamic team dedicated to delivering exceptional wealth management services. With a strong focus on employee development, you will have access to excellent career progression opportunities and the chance to work closely with experienced professionals in the field. Our collaborative work culture fosters innovation and supports your growth as you engage with Ultra High Net Worth clients, making this an ideal environment for ambitious Paraplanners seeking meaningful and rewarding careers.
