IDEX Consulting Ltd
Head of Compliance SMF16
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Head of Compliance | SMF16 & SMF17 | Berkshire | Hybrid
I’m working with an established and highly successful financial planning business that is continuing to grow, both organically and through acquisition, and they are now looking to appoint an experienced Head of Compliance to lead their compliance and risk framework.
This is a senior role reporting directly to the CEO, with responsibility for both SMF16 (Compliance Oversight) and SMF17 (MLRO).
The business has ambitious growth plans and is looking for a compliance leader who can support that growth while ensuring the right regulatory framework, governance, and controls are firmly in place.
You’ll work closely with the CEO, senior leadership, and wider central teams, providing independent oversight, constructive challenge, and pragmatic regulatory guidance.
A key part of the role will be strengthening and embedding the compliance framework following a period of significant growth and acquisition.
What you’ll be doing
- Holding the SMF16 Compliance Oversight and SMF17 MLRO responsibilities.
- Developing and implementing a robust, risk-based compliance monitoring programme.
- Providing effective oversight of FCA regulatory requirements, systems, and controls.
- Ensuring the firm continues to meet its regulatory obligations and threshold conditions.
- Overseeing the Training & Competence framework and adviser competence.
- Reviewing MI and emerging risks, providing clear reporting and challenge to senior management.
- Keeping the business ahead of regulatory developments and ensuring appropriate action is taken.
- Overseeing complaints, breaches, errors, and remediation activity.
- Preparing for external compliance audits and ensuring actions are effectively implemented.
- Providing oversight of risk management, including the risk register and Risk Committee.
- Promoting a strong, positive compliance culture across advisers and support teams.
- Taking responsibility for financial crime and MLRO-related activity under SMF17.
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We are specifically looking for someone who has held or currently holds an SMF16 function with a financial planning / wealth management background.
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You’ll ideally bring:
- Proven senior compliance leadership experience, ideally at SMF16 level.
- Strong knowledge of the FCA regulatory environment and financial planning sector.
- Experience operating within an advice-led business.
- A pragmatic, commercially aware approach to compliance.
- The confidence to challenge senior and established stakeholders when required.
- Experience supporting businesses through acquisition and integration.
- The ability to introduce change without damaging established relationships or culture.
- Strong communication and influencing skills, with the credibility to work directly with advisers, senior management, and the board.
- A long-term mindset — this is not a consultant-style engagement. We are looking for someone who wants to become a trusted part of the business and build strong relationships over time.
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