Head of Compliance

Barclay Simpson; Greater London; On-site; GBP 120,000 - 160,000; Full time

Job summary

Barclay Simpson, in partnership with an international brokerage, is appointing a Head of Compliance (SMF16/17) for its UK entity. This senior FCA-facing role leads UK compliance, interacts with FCA, and sits on governance bodies.

Reporting to group compliance, the post oversees governance frameworks, CASS controls, regulatory reporting, and strategic advisory to senior management and board, facilitating growth across jurisdictions.

Qualifications

• SMF16 and SMF17 approval or eligibility.
• Strong knowledge of FCA Handbook, CASS and investment firm regulation.
• Experience within a brokerage, broker-dealer or trading platform environment.
• Excellent communication and stakeholder management.
• Ability to operate in a fast-paced, commercially driven business.

Responsibilities

• Leading the UK compliance function and holding SMF16/17 responsibilities.
• Managing FCA engagement and regulatory communications.
• Strengthening governance, compliance monitoring and reporting frameworks.
• Overseeing CASS controls, reconciliations and regulatory reporting obligations.
• Advising senior management and the Board on UK regulatory matters.
• Supporting business growth initiatives and future regulatory developments.
• Partnering with global compliance and operational teams across jurisdictions.

Skills

SMF16/17 approval

FCA regulatory knowledge

Brokerage experience

Stakeholder management

Strategic advisory

Job description

Barclay Simpson is partnering with an international brokerage to appoint a Head of Compliance (SMF16/17) for its UK entity.

This is a senior FCA-facing leadership role within a globally established brokerage platform operating across multiple regulated jurisdictions.

The UK entity forms part of a wider international organisation with significant global scale and ambitious long-term growth plans.

This appointment is viewed as strategically important and will play a key role in strengthening the UK regulatory framework, enhancing governance standards and supporting the next phase of development for the business.

The Role

Reporting into Group Compliance leadership, the successful candidate will hold SMF16/17 responsibilities for the UK entity and act as the primary compliance contact for the FCA.

The role will combine regulatory oversight, governance leadership and strategic advisory responsibilities within a fast-moving brokerage environment.

Key responsibilities include:

• Leading the UK compliance function and holding SMF16/17 responsibilities
• Managing FCA engagement and regulatory communications
• Strengthening governance, compliance monitoring and reporting frameworks
• Overseeing CASS controls, reconciliations and regulatory reporting obligations
• Advising senior management and the Board on UK regulatory matters
• Supporting business growth initiatives and future regulatory developments
• Partnering with global compliance and operational teams across jurisdictions
• Ensuring robust compliance infrastructure within a scalable brokerage platform

This is a highly visible role offering direct interaction with senior executives and global stakeholders.

Candidate Profile

We are seeking an experienced compliance professional with strong FCA credibility and brokerage sector expertise.

Key requirements include:

• Current or previous SMF16 and SMF17 approval
• Strong knowledge of FCA Handbook, CASS and investment firm regulation
• Experience within a brokerage, broker-dealer or trading platform environment
• Ability to operate confidently in a fast-paced, commercially driven business
• Strong communication and stakeholder management skills
• Pragmatic and solutions-oriented mindset

Candidates from institutional brokerage, multi-asset trading or professional client environments will be particularly relevant.