Compliance Director - SMF16/17 - #2112618

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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