UK Head of Compliance - US Broker/Dealer

UK Head of Compliance – US Broker/Dealer

UK Head of Compliance – US Broker/Dealer

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Principal Consultant | Coopman Search & Selection | Hedge Funds & Private Equity | Legal & Compliance

Coopman Search and Selection are delighted to partner exclusively with a large US Broker/Dealer who are in the process of setting up a new UK broker/dealer. They are looking to hire a UK Head of Compliance to buildout, oversee and manage the Firm’s compliance framework as a regulated broker-dealer operating under FCA authorization.

In this role you will be responsible for for developing and maintaining a proportionate and effective compliance infrastructure, ensuring compliance with FCA rules, advising the business on regulatory obligations as it grows, acting as a trusted advisor to senior management and the board, and serve as infrastructure manager, supporting the office in the alignment and maintenance of the Firm’s compliance program.

Key Responsibilities:

• Serve as the SMF 16 & SMF17 for the Firm.
• Develop, implement, and manage the Firm’s Compliance Monitoring Programme (CMP) tailored to a non-custodial broker-dealer model.
• Ensure full compliance with applicable parts of the FCA Handbook, including but not limited to Senior Management Arrangements (SYSC), Conduct of Business Sourcebook (COBS), Market Abuse Regulation (MAR), Principles for Businesses (PRIN), and Money Laundering Regulations (MLRs).
• Lead the Firm’s regulatory reporting obligations (e.g., REP_CRIM, GABRIEL/REgData filings, SMCR attestations).
• Provide real-time compliance advice to business units (e.g., sales, trading, capital markets, or affiliate advisory teams).
• Review new business initiatives and ensure compliance is embedded in product and service design.
• Monitor and interpret regulatory developments and ensure timely updates to internal policies and procedures.
• Serve and point of contact with the FCA for supervisory interactions, audits, and reviews.
• Attend the Firm’s governance and board meetings to present compliance updates, risk assessments, and regulatory findings.
• Facilitate the alignment of the Firm’s compliance program with third party counsel and regulatory consultant to ensure continued business alignment with FCA requirements.

Experience Required:

• Prior FCA-approved SMF16 preferred, ideally at a similar MiFID investment firm or boutique broker-dealer, with at least 5-7 years’ experience.
• Experience designing and operating compliance frameworks for firms that do not hold client money or assets.
• Comfortable interacting with senior leadership and regulators, with the ability to manage regulatory relationships
• Proven the ability to work and flourish in a fast-moving, growth-oriented environment.
• Strong knowledge of FCA rules and relevant regulations, including COBS, MAR, MiFID II, and AML obligations (CAMS or similar certification a plus)

For a confidential discussion or for further information, please get in touch with

As a Certified B Corporation, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work, we ensure our workplace is one that fosters professional growth and collaboration.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Legal

• Industries

  Financial Services, Investment Management, and Investment Banking

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