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Compliance Officer (SMF16 and SMF17)
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Strong compliance doesn't slow a business down: it gives advisers the confidence to grow, innovate and deliver exceptional outcomes for clients. If you're looking to shape regulatory strategy while influencing commercial success, this Compliance Officer opportunity offers the platform to make a lasting impact within a growing boutique Independent Financial Adviser firm.
What's in it for you
- Salary of GBP 100,000 per annum.
- Hybrid working with three days in the London office and two days working remotely.
- Senior leadership position with genuine influence over business strategy and governance.
- Opportunity to shape and develop a commercially focused framework.
- Work alongside experienced advisers and senior stakeholders within a growing boutique IFA business.
- Play a key role in supporting continued business growth while maintaining the highest regulatory standards.
Your responsibilities as Compliance Officer
- Hold the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) functions.
- Review and approve higher-risk advice cases, including complex pension, investment and inheritance planning recommendations.
- Lead monitoring, regulatory reporting, Consumer Duty oversight, AML responsibilities and FCA submissions.
- Provide practical guidance, training and support across advisers, paraplanners and operational teams.
- Maintain and continuously improve policies, governance frameworks, controls and regulatory processes.
- Support investment governance, complaints handling, GDPR compliance and ongoing regulatory improvements across the business.
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What we're looking for in a Compliance Officer
- Experience performing SMF16 and/or SMF17 responsibilities within an Independent Financial Adviser environment.
- Strong working knowledge of FCA Handbook requirements, Consumer Duty, AML regulations, GDPR and financial promotions.
- Proven ability to develop monitoring programmes, complete advice file reviews and produce regulatory reports including RMAR submissions.
- Relevant financial planning and compliance qualifications, together with up-to-date professional development.
- Experience using compliance technology and systems to improve oversight, reporting and operational efficiency.
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Working hours: Hybrid working: 3 days in the London office and 2 days remote (full-time hours).
If you're ready to make a real impact as the next Compliance Officer, we'd love to hear from you. Apply today and take the lead in shaping compliance within a growing, forward-thinking financial services business.
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