Senior Compliance Leader (SMF16/17) & MLRO

IDEX Consulting Ltd; Maidenhead; Hybrid; GBP 90,000 - 150,000; Full time

Job summary

IDEX Consulting Ltd seeks a seasoned Head of Compliance to lead the firm's compliance and risk framework in a Berkshire hybrid setting. Reporting to the CEO, you will own SMF16 and SMF17 responsibilities, guide governance, and embed a robust controls environment to support ambitious growth.

You will work with the CEO and senior leadership, providing independent oversight, pragmatic regulatory guidance, and a culture of compliant excellence across advisers and support teams.

Qualifications

• Senior compliance leadership experience, ideally SMF16 level
• Strong knowledge of FCA regulatory environment and financial planning sector
• Experience in an advice-led business
• Commercial, pragmatic approach to compliance

Responsibilities

• Hold SMF16 (Compliance Oversight) and SMF17 (MLRO) responsibilities.
• Develop and implement a robust, risk-based compliance monitoring programme.
• Oversee FCA regulatory requirements, systems and controls.
• Ensure ongoing regulatory obligations and threshold conditions are met.
• Oversee Training & Competence and adviser competence.
• Review MI and emerging risks; provide reporting to senior management.
• Keep business ahead of regulatory developments and take appropriate action.
• Oversee complaints, breaches, errors and remediation activity.
• Prepare for external compliance audits and drive actions.
• Oversee risk management, including the risk register and Risk Committee.
• Promote a strong compliance culture across advisers and support teams.
• Lead financial crime and MLRO-related activity under SMF17.
• Bring experience from financial planning/wealth management with SMF16 background.

Skills

SMF16

MLRO

Regulatory knowledge

Acquisition experience

Stakeholder management

Risk management

Financial crime oversight

Communication

Job description

IDEX Consulting Ltd seeks a seasoned Head of Compliance to lead the firm's compliance and risk framework in a Berkshire hybrid setting. Reporting to the CEO, you will own SMF16 and SMF17 responsibilities, guide governance, and embed a robust controls environment to support ambitious growth.

You will work with the CEO and senior leadership, providing independent oversight, pragmatic regulatory guidance, and a culture of compliant excellence across advisers and support teams.