Head of Compliance (SMF16/17)

London/Peterborough  Hybrid or Remote | Up to £100,000 + Equity

This prominent and innovative business is seeking a Head of Compliance to take on SMF16/17 responsibilities and play a key strategic and leadership role in our growing fintech business.

They believe everyone in the UK should have access to regulated financial advice, and they combine deep expertise in financial planning with the agility of digital innovation.

Already well-established, this is an exciting opportunity to build on our success and shape the next chapter of their journey.

They are committed to finding the right person for this role and offer genuine flexibility. The position can be full-time, taking on broad strategic and growth responsibilities, or part-time, with duties tailored to fit your available hours.

Key responsibilities

• Hold SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) functions.
• Develop, implement, and maintain compliance and risk management frameworks suited to a fintech advisory environment.
• Ensure policies, processes, and systems fully meet FCA requirements.
• Advise senior management and the Board on governance, conduct, and regulatory risk, ensuring alignment with the mission of accessible advice.
• Lead the firms relationship with the FCA and other authorities, representing the business confidently and credibly.
• Support product and service innovation, enabling compliant and controlled growth.
• Build, mentor, and lead the compliance function as the business scales, embedding a proactive, risk-aware culture.

About you

• Experienced in compliance within fintech, wealth management, or investment services.
• Possibly a No. 2 or senior compliance manager looking to step up into your first Head of Compliance role.
• Approved or eligible for SMF16/17.
• Strong technical grounding in FCA regulation, AML/financial crime, Consumer Duty, governance, and risk frameworks.
• Excellent communicator and collaborator, able to work closely with the founder, leadership team, and external regulators.
• Thrive in a fast-moving, evolving environment, comfortable being both strategic and hands-on.

Why join?

They are a business thats:

• On a mission to democratise financial advice, making it accessible to everyone.
• Combining traditional strength with fintech innovation.
• Offering a genuine leadership opportunity full ownership of compliance and AML with influence at board level.
• Flexible by design, with options for full-time or part-time work to suit your circumstances.
• Providing competitive remuneration (up to £100k) plus equity in a business with significant growth potential.

If youre ready to step into a senior compliance leadership role, align your expertise with an inclusive mission, and help shape the future of financial advice, wed love to hear from you.

Applications are open for up to 30 days but may close early if a suitable candidate is found.

Our recruitment process is fair and inclusive. If you need any adjustments, please let us know. Only shortlisted candidates will be contacted.
To improve your chances, ensure you meet the criteria, have the right to work in the UK, and submit a clear, tailored CV showcasing your relevant experience.