Head of Compliance (SMF16 & SMF17)

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 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.

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