Head of Compliance | SMF16 | Remote | Wealth Manager / IFA Platform
Danos Group have been retained by a leading Asset and Wealth Manager who are seeking an exceptional Head of Compliance to take ownership of all regulatory compliance matters for their IFA / AR platform.
The Opportunity
It's a chance to be the trusted advisor at the heart of the business, working with the CEO and Board to embed a culture of compliance excellence. You'll have the autonomy to build, refine, and lead a robust compliance framework that not only meets regulatory requirements but drives business confidence and client trust.
Role overview
Strategic Leadership
- Serve as SMF16 with primary responsibility for FCA compliance oversight and Insurance Distribution compliance
- Maintain a collaborative, transparent relationship with the FCA
- Drive the implementation and embedding of Consumer Duty requirements across the business
Operational Excellence
- Lead a small, specialist team including a Deputy Head of Compliance and Technical Compliance Adviser
- Oversee risk-based compliance monitoring programs across first and second lines of defence
- Manage all FCA reporting, notifications, and threshold condition compliance
- Ensure robust systems and controls, including CASS oversight and complaints handling
- Maintain oversight of Approved Persons regime and SMCR compliance
Who We're Looking For
- Proven track record in a senior compliance role within FCA-regulated wealth manager or IFA platform.
- Current or previous SMF16 holder with deep understanding of regulatory obligations
- Knowledge of Consumer Duty, SMCR, CASS, and FCA rules and regulations
- Experience managing FCA relationships and regulatory reporting
What Makes This Role Unique
- Genuine Impact: Shape compliance strategy from the top table with Board and CEO access
- Flexibility: Home-based working
- Leadership Scope: Build and develop your own compliance function
- Professional Growth: Work with a respected firm committed to regulatory excellence