At a Glance
- Tasks: Lead compliance strategy and oversee financial crime frameworks in a dynamic financial planning firm.
- Company: Respected independent financial planning business based in London.
- Benefits: Competitive pro-rata salary, discretionary bonus, and supportive work environment.
- Other info: Part-time role with excellent career growth opportunities and a collaborative culture.
- Why this job: Shape compliance frameworks and engage directly with senior leadership for impactful governance.
- Qualifications: Experienced compliance professional with FCA knowledge and strong stakeholder engagement skills.
The predicted salary is between 130000 - 140000 £ per year.
Location: London (Mayfair)
Working Pattern: Part-time - 2 days per week (office-based)
Salary: £130k-£140k Competitive (pro-rata for 2 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 or financial planning business.
- In-depth knowledge of FCA regulation, SMCR, Consumer Duty, AML, and financial crime.
- Proven experience conducting suitability and file reviews.
- Experience developing Compliance Monitoring Programmes.
- Strong report writing, MI production, and Board-level communication skills.
- Experience maintaining compliance policies and procedures.
- Strong stakeholder engagement and communication skills.
Desirable:
- Experience with Intelligent Office (IO).
- Relevant compliance qualification (e.g. ICA).
What's on Offer
- Senior leadership role within a respected independent financial planning business.
- Opportunity to shape and enhance the compliance framework.
- Direct exposure to Board and senior decision-making.
- Competitive pro-rata salary, discretionary bonus, and benefits.
- Supportive and collaborative London-based working environment.
To apply, please contact Deerfoot Recruitment for a confidential discussion regarding this opportunity.
Head of Compliance (SMF16 & SMF17) employer: Deerfoot Recruitment Solutions
Join a respected independent financial planning business in Mayfair, London, where you will play a pivotal role as the Head of Compliance. This part-time position offers a competitive salary and the chance to shape compliance strategies while working closely with senior leadership in a supportive and collaborative environment. With opportunities for professional growth and direct exposure to Board-level decision-making, this role is ideal for those seeking meaningful and rewarding employment in the financial sector.
Contact Details:
Deerfoot Recruitment Solutions Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance (SMF16 & SMF17)
✨Tap into Compliance Networks
Join compliance and risk management networks like the Association of Compliance Professionals or local chapters. These communities often share part-time opportunities that might not be advertised widely, plus you'll build connections that could lead to your next gig.
✨Utilise Online Job Boards
Specific job boards like ComplianceCrossing or RiskJobs can help you zero in on part-time roles in compliance. Set up alerts for new listings so you're one of the first to apply—timeliness can really set you apart!
✨Tailor Your Networking Approach
When networking, focus on engaging with compliance professionals on platforms like LinkedIn or attending local industry meetups. Bring up specific laws or recent trends to show off your knowledge and make a memorable impression!
✨Leverage Internships for Part-Time Roles
If you've done an internship in compliance risk, reach out to your past supervisors or colleagues. They often know about part-time openings or can refer you to organisations like Deerfoot Recruitment Solutions, potentially speeding up your job search.
We think you need these skills to ace Head of Compliance (SMF16 & SMF17)
Some tips for your application 🫡
Show Off Your Compliance Knowledge:When applying for a part-time role in compliance-risk, make sure your CV highlights any relevant coursework, certifications, or experience in regulatory frameworks. We want to see your understanding of compliance standards and risk management concepts, so don’t be shy about bragging about those modules or training programmes.
Demonstrate Analytical Skills:Compliance and risk roles are all about dealing with data, so be sure to showcase your analytical skills in your application. Include specific examples of how you've used analytical tools or methods to identify risk or ensure compliance in previous roles or projects. Trust us, this will make your application stand out!
Emphasise Your Availability:Since this is a part-time role, it's really important to communicate your availability clearly. In your cover letter, let us know your preferred hours and if you're flexible. This helps us see how you can fit into our team and the schedules we need to cover.
Tailor Your Cover Letter to Show Interest:In your cover letter, show us why you want to work in compliance-risk specifically for Deerfoot Recruitment Solutions. Tell us about your passion for helping organisations maintain compliance and how you can contribute to our goals. Personalising this will definitely help make your application more memorable, so take that extra step!
How to prepare for a job interview at Deerfoot Recruitment Solutions
✨Understand Regulatory Frameworks
For a role in compliance-risk, it's crucial to have a solid grasp of the relevant regulations and frameworks, like GDPR or anti-money laundering laws. Brush up on these areas, and be ready to discuss how your knowledge applies to scenarios you might face at Deerfoot Recruitment Solutions.
✨Prepare Case Studies
Since we’re looking at a part-time gig, interviewers may want to see how you approach real-world problems. Prepare some case studies related to risk assessment or compliance frameworks that showcase your analytical skills and decision-making process. This will help you stand out as someone who's ready to jump into the action.
✨Show Off Your Detail Orientation
In compliance, attention to detail is everything. Bring examples from your past experiences where your diligence made a difference, whether that’s spotting a regulatory oversight or ensuring a process was followed to the letter. We want to highlight how this skill can benefit Deerfoot Recruitment Solutions.
✨Connect Your Part-Time Availability
Make it clear how your part-time availability aligns with the needs of Deerfoot Recruitment Solutions. Talk about how your time management skills will help you keep on top of tasks and responsibilities, ensuring you can maximise your impact even with part-time hours.
