Head of Compliance

Delighted to be exclusively working in partnership with a Peterborough based client to recruit for a Head of Compliance. My client is FCA regulated and this is a critical hire for them. If you are hungry to be part of the growth of a business who have an entrepreneurial style, where you can take real ownership, then please apply!

You will lead its compliance and financial crime framework and provide trusted regulatory advice directly to the Board. This is a senior, high-profile role with significant responsibility and autonomy. Reporting directly to the Board, the successful candidate will act as a key point of contact on regulatory, conduct, governance and financial crime matters, helping to ensure the business continues to meet its FCA obligations while supporting its commercial objectives.

The role will hold responsibility for the firm's SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) functions, subject to the firm's regulatory permissions and approval arrangements.

Key Deliverables:

• Lead and oversee the firm's compliance and financial crime framework.
• Perform the responsibilities associated with SMF16 and SMF17, providing independent challenge and advice to the Board and senior management.
• Provide clear, pragmatic regulatory advice across the business, balancing regulatory requirements with commercial considerations.
• Maintain and develop the firm's compliance monitoring programme, risk assessments, policies and procedures.
• Ensure effective oversight of FCA regulatory requirements applicable to the firm's investment and stockbroking activities.
• Oversee the firm's financial crime framework, including AML, CTF, sanctions, client due diligence and ongoing monitoring.
• Act as MLRO, overseeing the identification, escalation and reporting of suspicious activity and maintaining appropriate relationships with relevant authorities.
• Monitor regulatory developments and assess their impact on the business, ensuring timely implementation of changes.
• Provide regular compliance, financial crime and regulatory reporting to the Board and relevant committees.
• Maintain effective relationships with the FCA and other relevant regulatory bodies and professional advisers.
• Support regulatory inspections, information requests and other supervisory engagement.
• Provide advice on new products, services, clients and business initiatives from a regulatory and conduct perspective.
• Promote a strong culture of compliance, integrity and good customer outcomes throughout the organisation.
• Ensure appropriate compliance training and awareness across the business.
• Oversee and challenge the management of regulatory breaches, incidents, complaints and remediation activity.
• Work closely with Risk, Operations, Legal and senior management to identify and manage regulatory and conduct risks.

The Right Candidate:

• Significant compliance experience within an FCA-regulated investment, stockbroking, wealth management, asset management or financial services environment.
• Strong knowledge of the FCA regulatory framework and the requirements applicable to investment firms.
• Experience performing, or being ready to undertake, SMF16 and SMF17 responsibilities.
• Strong understanding of AML, financial crime, market conduct, client assets/client money and conduct risk, as relevant to the firm's activities.
• Experience developing and maintaining compliance monitoring programmes and regulatory policies.
• Confidence providing independent challenge to senior management and Board members.
• Experience dealing with regulatory authorities and external advisers.
• Excellent judgement, communication and stakeholder-management skills.
• The ability to operate strategically while remaining comfortable getting into the detail where required.
• A pragmatic and commercially aware approach to compliance.

This is an opportunity to take a highly visible leadership role within an established SME financial services business, with direct access to the Board and the opportunity to shape the firm's regulatory, compliance and financial crime framework. The successful candidate will have genuine influence over how the business manages regulatory risk and will play a central role in supporting its continued development and growth.