Head of Compliance - Broker

MERJE is partnering with a rapidly growing, international financial services and trading business to appoint an experienced UK Head of Compliance (SMF16/17).

This is a high-profile opportunity for a seasoned compliance leader to take ownership of the UK regulatory framework at an important stage of the organisation’s development. The successful individual will act as the primary point of contact with the FCA, oversee a key regulatory remediation programme and help position the UK business for its next phase of growth.

The role

1. Hold SMF16/17 responsibility for the UK regulated entity and act as primary FCA contact.
2. Lead and manage ongoing FCA engagement, ensuring clear, credible and regulator-ready communication.
3. Take ownership of regulatory remediation activity and coordinate an external audit through to successful completion.
4. Provide technical leadership across CASS, including custody arrangements, reconciliations and regulatory reporting.
5. Maintain and enhance the UK compliance framework, including governance, policies, procedures and controls.
6. Work closely with senior UK and Group stakeholders to support future regulatory permissions and continued business growth.
7. Operate with significant autonomy while contributing to wider Group compliance initiatives.

About you

We are looking for an established senior compliance professional who can combine strong technical knowledge with the credibility and judgement required to manage senior stakeholders and regulators.

You will have:

1. Current or previous SMF16 and SMF17 approval within an FCA-regulated investment firm, brokerage or similar financial services business.
2. Strong technical knowledge of the FCA Handbook and CASS, particularly custody arrangements and reporting requirements.
3. Experience within an institutional/professional-client brokerage or trading environment would be particularly valuable.
4. Proven experience managing FCA supervisory relationships, regulatory remediation or periods of enhanced regulatory oversight.
5. Excellent written and verbal communication skills, with experience presenting to Boards and senior leadership.
6. A pragmatic, commercially minded approach – able to support growth while maintaining appropriate regulatory standards.

This would suit someone who enjoys operating in a high-accountability, entrepreneurial environment and wants the opportunity to make a genuine impact on the direction and development of a growing UK regulated business.