Compliance Director - Financial Planning

IDEX Consulting Ltd; United Kingdom; Remote; GBP 80,000 - 120,000; Full time

Job summary

An established industry player is seeking a Compliance Director to join their Executive Leadership Team. This pivotal role involves driving a culture of compliance and regulatory excellence while supporting ambitious growth plans. The ideal candidate will have proven experience in compliance oversight, particularly within the financial planning sector, and hold essential qualifications such as SMF16 and SMF17. This remote position offers outstanding professional development opportunities within a thriving, client-centric business, making it an exciting career move for seasoned compliance professionals.

Qualifications

• Proven experience holding SMF16 and SMF17 responsibilities.
• Strong working knowledge of FCA regulations and compliance frameworks.

Responsibilities

• Oversight of all compliance functions across financial planning.
• Lead a talented compliance team and shape regulatory strategy.

Skills

Compliance Oversight (SMF16)

Money Laundering Reporting Officer (SMF17)

Financial Planning Industry Knowledge

Leadership Skills

Strategic Thinking

Education

Level 4 Diploma in Financial Planning

Chartered Status

Job description

Compliance Director - Financial Planning

Compliance Director - Financial Planning

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Direct message the job poster from IDEX Consulting Ltd

Business Director - Risk, Governance & Compliance - UK & US

Compliance Director – Executive Leadership Role

Location: Remote (Anywhere in the UK)

We are partnering with one of the UK’s leading Financial Planning businesses, providing impartial, tailored advice to High Net Worth Individuals, Business Owner-Managers, and Trustees. This award-winning, fee-based, independent firm manages over £2.4 billion in client assets.

As part of their continued growth, they are seeking a Compliance Director to join their Executive Leadership Team. This is a senior, influential role, working closely with the CEO and Board to drive a culture of compliance, ethics, and regulatory excellence while supporting the firm’s ambitious growth plans.

The Opportunity:

• Executive leadership role reporting directly to the CEO and the Board.
• Oversight of all compliance functions across the financial planning and corporate finance practices.
• Act as SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) — holding both is an essential requirement.
• Lead a talented compliance team and help shape the business’s regulatory strategy.
• Represent the firm with the FCA and external regulatory bodies, ensuring complete adherence to FCA regulations and internal policies.
• Provide hands-on compliance support for the corporate finance practice (a smaller part of the overall remit).

What We’re Looking For:

• Proven experience holding SMF16 and SMF17 responsibilities within a regulated environment.
• Financial Planning industry experience is essential, supported by a Level 4 Diploma as a minimum (Chartered status highly desirable).
• Strong working knowledge of FCA regulations and compliance frameworks within the retail financial advice and wealth management sector.
• A strategic thinker with excellent leadership skills, capable of working at Board level.
• High ethical standards, professional integrity, and a commitment to best practices.

Why Apply?

• Play a pivotal role at the executive level in a thriving, growing firm
• Shape and lead a compliance function in a high-profile, client-centric business.
• Benefit from a flexible, UK-wide role offering outstanding professional development opportunities.

Important:

Only candidates who have held SMF16 and SMF17 and have financial planning experience with a Level 4 Diploma or higher will be considered.

Seniority level

• Executive

Employment type

• Full-time

Job function

• Other

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