Job Title: Head of Compliance (SMF16 & SMF17)
Location: London (Mayfair)
Working Pattern: Part-time - 2 - 3 days per week (office-based)
Salary: £120k-£130k Competitive (pro-rata for 2 - 3 days per week)
Deerfoot Recruitment is assisting a well-established independent financial planning business to recruit an experienced Head of Compliance to join its senior leadership team based in London.
This is an excellent opportunity for a hands-on compliance professional to take ownership of a firm's compliance and financial crime framework while also operating at a strategic level. The successful individual will report directly to the Board and assume the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) responsibilities.
The role combines strategic leadership with day-to-day operational involvement and is ideally suited to someone who enjoys working closely with financial planners and senior stakeholders to promote strong governance, regulatory adherence, and positive client outcomes.
Key Responsibilities
Hold SMF16 and SMF17 regulated responsibilities.
Lead and enhance the firm's Compliance Monitoring Programme using a risk-based approach.
Conduct suitability and client file reviews, identifying trends and areas for improvement.
Produce compliance management information, Board reports, and trend analysis.
Maintain and update compliance policies, procedures, and regulatory documentation.
Provide clear, pragmatic regulatory guidance to advisers and the wider business.
Oversee the financial crime framework, including AML, sanctions, and fraud controls.
Monitor regulatory developments and implement required changes.
Act as key liaison with the FCA where appropriate.
Support Training & Competence and adviser oversight frameworks.
Foster and maintain a strong culture of compliance across the business.
Candidate Profile
The successful candidate will be an experienced compliance professional with a strong background in the IFA or financial planning sector and proven experience within an FCA-regulated environment. They will be comfortable operating at both strategic and operational levels, engaging confidently with senior leadership while remaining actively involved in day-to-day compliance activity.
Essential experience includes:
Prior experience at SMF16/SMF17 level or equivalent responsibility.
Strong background within an IFA o...
Head of Compliance (SMF16 & SMF17) in East Kilbride employer: Deerfoot Recruitment Solutions
Join a leading global technology consulting organisation that prioritises employee growth and innovation in the heart of London, Manchester, or Glasgow. With a strong emphasis on collaboration and cutting-edge projects, you'll have access to comprehensive benefits, a hybrid work culture, and opportunities to influence high-profile clients while developing your expertise in data and AI. This is not just a job; it's a chance to be part of a dynamic team that values your contributions and supports your professional journey.
Contact Details:
Deerfoot Recruitment Solutions Recruitment Team
