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Head of Compliance
Head of Compliance
Retail Investment Firm
£120,000 – £140,000 base + bonus
Part time 3 days a week
We are working with a high-quality, fast-growing retail investment firm, focused on delivering attractive investment opportunities to high-net-worth and sophisticated retail investors.
This is an exciting, senior opportunity to join a small, ambitious firm where you will wholly own the regulatory compliance function, shape frameworks from the ground up, and play a key role in supporting the firm’s long-term growth.
The Opportunity
This role is a generalist Head of Compliance with a focus on SMF16, offering genuine ownership, autonomy, and influence. You will work closely with the senior leadership team in a lean, entrepreneurial environment where compliance is taken seriously and valued as a strategic function.
You will be the firm’s go-to expert for all regulatory matters, with the opportunity to build and evolve the compliance function as the business scales.
Key Responsibilities
As Head of Compliance, your responsibilities will include (but are not limited to):
- Ensuring the firm complies with all applicable FCA regulatory requirements
- Acting as the Compliance Oversight Function, including appointment as SMF16
- Acting as the Money Laundering Reporting Officer, including appointment as SMF17 (most financial crime work is outsourced)
- Managing FCA reporting, applications, and regulatory interactions
- Overseeing financial promotions, disclosures, and investor communications
- Designing, implementing, and maintaining robust compliance frameworks and controls
- Building and embedding a strong compliance culture as the firm grows
What We’re Looking For
- A senior compliance generalist with experience in FCA-regulated environments
- Strong understanding of retail investment regulation and financial promotions
- Comfortable operating independently in a small, fast-moving firm
- Practical, solutions-oriented mindset (not overly bureaucratic)
- Confident engaging with senior stakeholders and regulators
- SMF experience highly desirable
What’s on Offer
- Base salary: £120,000 – £140,000 FTE
- part time 3 days a week
- Company performance bonus
- Hybrid working 3 days in London office
- Genuine ownership of compliance and operational risk
- Opportunity to shape and grow a function, not just maintain one
Barclay Simpson – the trusted name in Compliance recruitment: https://www.barclaysimpson.com/specialisms/compliance-jobs/
This job was posted by Barclay Simpson: https://www.barclaysimpson.com/job/head-of-compliance/
We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.
Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.
