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Carbon Offset via TreeNation FD Capital Recruitment Ltd is registered at Companies House (no. 13329383) and has been providing CFOs and Finance Directors since 2018 and is operated by an ICAEW-registered practice. Our founder Adrian Lawrence FCA holds an ICAEW practising certificate.
Position title
Fractional Chief Compliance Officer (SMF16) — FCA-Regulated IFA / Wealth Management Firm
Description
London | Fractional (1 day per week, scaling to 2) | £600–£650 per day | Start: July 2026
FD Capital is partnering with a growing FCA-authorised financial advisory firm to appoint an experienced Compliance Officer (SMF16) on a fractional basis. This is a hands-on role for a compliance leader who has lived and breathed the IFA and wealth management world — someone who can walk in and run an advice firm's compliance function from day one.
This is not a role for adjacent-sector compliance experience. Our client specifically needs deep, demonstrable experience inside an FCA-regulated IFA, wealth management or financial planning firm — from the detail of suitability and advice file checking through to T&C schemes, Consumer Duty and board-level governance.
Responsibilities
The role
• Act as SMF16 (Compliance Oversight), owning the firm's regulatory relationship with the FCA
• Carry out and oversee advice suitability file reviews across the advice process
• Lead Consumer Duty governance and evidence good client outcomes for retail clients
• Run the T&C scheme, financial promotions sign-off and conduct risk frameworks
• Build a scalable compliance monitoring programme that supports the firm's growth
• Report to the Board, providing clear, practical, proportionate regulatory guidance
What our client needs (essential)
• Demonstrable, recent compliance experience WITHIN an FCA-regulated IFA, wealth management or financial advisory firm — restricted or independent advice
• Hands-on experience reviewing advice suitability files and evidencing good client outcomes
• Strong working knowledge of COBS, SM&CR, Consumer Duty and the T&C regime as they apply to retail advice
• Experience holding or readiness to hold SMF16 (SMF17 / MLRO familiarity an advantage)
• Able to work fractionally and make an immediate impact in a focused day — a true 'hit the ground running' operator
• Relevant qualifications welcomed (e.g. CISI, CII, Diploma in Regulated Financial Planning / Level 4+)
Qualifications
What's on offer
• Competitive day rate (£600–£650), scaling days as the business grows
• Genuine portfolio-style fractional work with a growing, ambitious advice firm
Job Benefits
Day rate of £600-£650
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Hiring organization
Employment Type
Part-time
Beginning of employment
1st July 2026
Duration of employment
Perm
Industry
Financial Services
Job Location
London, South East, United Kingdom
Base Salary
£600-£650 Per day
Date posted
June 15, 2026
Valid through
July 31, 2026
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