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.
London | Fractional (1 day per week, scaling to 2) | Day rate negotiable
FD Capital is partnering with a growing FCA-authorised financial advisory firm to appoint an experienced Chief Compliance Officer on a fractional basis. The role starts at one day per week, with the potential to scale to two within around twelve months as the business grows.
This is an ideal opportunity for a seasoned compliance leader who wants portfolio-style work without the constraints of a full-time post. Our client needs someone who understands the IFA and wealth management world from the inside — from the detail of suitability and advice file checking through to organisational design, governance and board-level reporting — and who can build a scalable compliance framework that supports the firm's next stage of growth.
The role
Act as SMF16 (Compliance Oversight), owning the firm's regulatory relationship with the FCA
Design and embed a scalable compliance monitoring programme, including advice and suitability file reviews
Lead Consumer Duty governance and evidence good client outcomes across the advice process
Oversee the T&C scheme, financial promotions, and conduct risk frameworks
Build the compliance structure, reporting lines and MI needed to support growth
Report to the Board and senior leadership, providing clear, practical regulatory guidance
Keep the firm ahead of regulatory change and translate it into proportionate policy
What our client is looking for
Demonstrable compliance experience within an FCA-regulated IFA, wealth management or financial advisory firm
A track record of building or significantly developing a compliance function, not just operating one
Strong working knowledge of SM&CR, Consumer Duty, COBS, suitability and the FCA Handbook as it applies to retail advice
Experience holding or readiness to hold SMF16 (familiarity with SMF17 / MLRO responsibilities an advantage)
The judgement to balance robust compliance with commercial, client-focused growth
Comfortable working fractionally and able to make an impact in a focused, well-structured day
Relevant qualifications (e.g. CISI, CII) welcomed
Competitive Day Rate