Head of Compliance

2 weeks ago


Amersham, United Kingdom IDEX CONSULTING LTD Full time

Position: Head of Compliance (SMF16 and SMF17)


Interested in this role You can find all the relevant information in the description below.

Location: Buckinghamshire / Hybrid

Company: Financial Advice / Wealth Management

About the Role: IDEX Consulting are exclusively partnered with an IFA in Buckinghamshire who are looking to recruit a Head of Compliance who will hold SMF16 and 17 for the business. You will be responsible for driving compliance strategy and execution as they expand both organically and through exciting activity in the M&A space.

Key Responsibilities:

  • Lead the compliance function, ensuring adherence to regulatory requirements and best practices.
  • Hold Senior Management Functions SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer).
  • Develop, implement, and maintain compliance policies and procedures.
  • Oversee compliance monitoring and reporting, ensuring timely identification and resolution of compliance issues.
  • Manage regulatory interactions and ensure the firm meets all reporting obligations.
  • Provide compliance support and guidance during M&A activities, ensuring smooth integration of acquired entities.
  • Act as a key advisor to senior management on compliance matters, fostering a culture of compliance within the organization.

This role offers an outstanding opportunity for someone seeking full autonomy in shaping a compliance framework within an IFA environment. If you thrive in senior stakeholder management and a commercial setting, this position is ideal for you.


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