At a Glance
- Tasks: Lead compliance strategy and oversee regulatory frameworks in a tech-driven wealth management firm.
- Company: Rapidly growing, innovative wealth management business with a strong market reputation.
- Benefits: Competitive salary, bonuses, equity incentives, flexible working, and professional development support.
- Other info: Exciting growth phase with significant visibility and career advancement opportunities.
- Why this job: Shape compliance at a high level and influence key decisions in a dynamic environment.
- Qualifications: Senior compliance experience in FCA-regulated financial services and strong leadership skills.
The predicted salary is between 70000 - 90000 £ per year.
An exciting opportunity has arisen for an experienced compliance professional to join a rapidly growing, technology-driven wealth management business as Head of Compliance. This is a senior leadership position offering the opportunity to shape and oversee the firm's regulatory, compliance, and financial crime framework whilst working closely with the founders and executive team. The successful individual will hold SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) responsibilities and play a key role in supporting the continued growth of an innovative FCA-regulated business.
Our client is a forward-thinking wealth management firm that combines technology with high-quality financial planning and investment solutions. Having established a strong reputation within the market, the business is entering an exciting phase of growth and is seeking a commercially minded compliance leader who can balance robust governance with strategic business support. This role offers significant visibility across the organisation and the opportunity to influence decision‑making at the highest level.
Key Responsibilities
- Act as SMF16 (Compliance Oversight) and SMF17 (MLRO).
- Provide strategic compliance guidance to senior management and the Board.
- Maintain and enhance the firm's compliance monitoring programme.
- Oversee regulatory reporting and FCA engagement.
- Ensure ongoing compliance with FCA rules, Consumer Duty requirements, and wider regulatory obligations.
- Lead the firm's financial crime, AML, and sanctions framework.
- Develop and maintain policies, procedures, and governance controls.
- Conduct risk assessments and provide regulatory advice on business initiatives and change projects.
- Deliver compliance training and promote a positive compliance culture throughout the business.
- Support the firm's growth plans whilst ensuring appropriate regulatory oversight and risk management.
About You
- Previous experience operating in a senior compliance leadership role within an FCA‑regulated wealth management, financial planning, investment management, or broader financial services environment.
- The capability and credibility to perform SMF16 and SMF17 responsibilities.
- Strong knowledge of FCA regulation, Consumer Duty, AML requirements, and the Senior Managers & Certification Regime.
- Experience engaging with regulators and senior stakeholders.
- Commercial awareness and the ability to provide pragmatic, solutions‑focused compliance advice.
- Excellent communication and leadership skills.
Package
- Competitive basic salary
- Discretionary annual bonus
- Equity/share incentive opportunity
- 27 days holiday
- Pension contribution
- Private Medical Insurance
- Income Protection
- Death in Service cover
- Flexible hybrid working arrangements
- Ongoing professional development support
- High-quality home office equipment provided
This is an excellent opportunity for an ambitious compliance professional seeking a visible and influential leadership role within a modern, fast‑growing financial services business.
Head of Compliance (SMF16 & SMF17) in London employer: mbf
Join a dynamic and innovative wealth management firm in London, where you will have the opportunity to shape compliance strategies at the highest level while enjoying a competitive salary, equity incentives, and a flexible hybrid working environment. Our culture promotes professional growth and collaboration, ensuring that you are supported in your career development while contributing to a forward-thinking organisation that values compliance as a cornerstone of its success.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance (SMF16 & SMF17) in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like mbf looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Compliance (SMF16 & SMF17) in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at mbf. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at mbf
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with mbf’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
