Compliance Director - SMF16/17
Are you a forward-thinking compliance professional seeking a flexible Compliance Director - SMF16/17 job with an ambitious, tech-forward independent financial planning firm? This is your opportunity to shape compliance strategy whilst maintaining genuine work-life balance.
Our client, a rapidly growing IFA firm. They're now seeking a Compliance Director - SMF16/17 to provide expert oversight on a part-time, fractional basis approximately one day per week.
Why This Compliance Director - SMF16/17 Role Stands Out:
• True flexibility - One day per week commitment with scope to grow as the business scales
• Technology-led approach - Work with AI-driven processes, streamlined suitability reporting
• Strategic influence - Join quarterly leadership events and genuinely shape the compliance framework
• Independence matters - Support a firm that champions advisor autonomy with a wide CIP across major platforms
• Collaborative model - Work alongside outsourced compliance support for operational tasks, whilst you focus on strategic oversight
As Compliance Director - SMF16/17, you'll oversee regulatory obligations, support advisor onboarding processes, and ensure robust frameworks across a geographically dispersed team serving UK and international clients within FCA guidelines.
Compliance Director - SMF16/17 Requirements:
• Essential: SMF16 and SMF17 experience within independent financial planning
• Essential: Strong understanding of IFA regulatory requirements, advice processes and compliance
• Desirable: Knowledge of advisor recruitment and onboarding compliance
• Desirable: Knowledge of Financial Planning AI and technology-driven compliance solutions
The Company
A directly authorised independent financial planning firm operating a fully remote model with advisors nationwide. They champion genuine independence with a wide investment proposition, cutting-edge technology, and clear growth ambitions toward £1 billion AUM.
Compliance Director - SMF16/17 Benefits
• Competitive compensation : £2,000 - £5,000 per month (dependent on experience and exact commitment)
• Fully remote working
• Flexible scheduling
• Opportunity to grow into fuller-time role as firm scales
• Involvement in company culture and quarterly events
Location
Fully remote - UK-based candidates welcome nationwide.
Ready to explore this Compliance Director - SMF16/17 opportunity? Apply now to join a firm where compliance truly partners with growth.
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