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Head of Compliance Brokerage
Head of Compliance (SMF16/17)
London | Hybrid Working | Up to £145,000 Base + Bonus
Barclay Simpson is partnering with an international brokerage to appoint a Head of Compliance (SMF16/17) for its UK entity.
This is a senior FCA-facing leadership role within a globally established brokerage platform operating across multiple regulated jurisdictions.
The UK entity forms part of a wider international organisation with significant global scale and ambitious long-term growth plans.
This appointment is viewed as strategically important and will play a key role in strengthening the UK regulatory framework, enhancing governance standards and supporting the next phase of development for the business.
The Role
Reporting into Group Compliance leadership, the successful candidate will hold SMF16/17 responsibilities for the UK entity and act as the primary compliance contact for the FCA.
The role will combine regulatory oversight, governance leadership and strategic advisory responsibilities within a fast-moving brokerage environment.
Key responsibilities include:
- Leading the UK compliance function and holding SMF16/17 responsibilities
- Managing FCA engagement and regulatory communications
- Strengthening governance, compliance monitoring and reporting frameworks
- Overseeing CASS controls, reconciliations and regulatory reporting obligations
- Advising senior management and the Board on UK regulatory matters
- Supporting business growth initiatives and future regulatory developments
- Partnering with global compliance and operational teams across jurisdictions
- Ensuring robust compliance infrastructure within a scalable brokerage platform
This is a highly visible role offering direct interaction with senior executives and global stakeholders.
Candidate Profile
We are seeking an experienced compliance professional with strong FCA credibility and brokerage sector expertise.
Key requirements include:
- Current or previous SMF16 and SMF17 approval
- Strong knowledge of FCA Handbook, CASS and investment firm regulation
- Experience within a brokerage, broker-dealer or trading platform environment
- Strong FCA relationship management experience
- Ability to operate confidently in a fast-paced, commercially driven business
- Strong communication and stakeholder management skills
- Pragmatic and solutions-oriented mindset
Candidates from institutional brokerage, multi-asset trading or professional client environments will be particularly relevant.
Why Apply?
- Senior SMF leadership role within an international brokerage
- Direct exposure to executive leadership and strategic projects
- Opportunity to shape and strengthen the UK compliance framework
- Hybrid working environment based in Canary Wharf
- Competitive package up to £145,000 base plus bonus
For a confidential discussion regarding this opportunity, please contact NE@barclaysimpson.com
Barclay Simpson - global leaders in Compliance recruitment: https://www.barclaysimpson.com/specialisms/compliance-jobs/
This is an official job listing by Barclay Simpson: https://www.barclaysimpson.com/job/ne-44492/head-of-compliance-brokerage/
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.
