Head of Compliance (SMF 16/17) | London, UK | Hybrid

Non-disclosed • London, England, GB • £140,000 - £150,000 / * • 2w ago

Key role in London based financial services institution. The Head of Compliance will oversee and manage the UK compliance function, ensuring adherence to FCA regulations and other applicable laws. This role is critical in safeguarding the Company's reputation and operational integrity, providing strategic leadership on compliance matters, and fostering a culture of ethical business practices.

• Liaise and report to the relevant regulatory bodies as required by the applicable regulations • Act as an adviser to the Company’s Board of Directors and Senior Management on general compliance issues • Maintain an up-to-date understanding of relevant aspects of prevailing business practices in the Company and the application of regulation to its business • Ensure local operation/administration procedures comply with relevant regulations and that this is adequately documented • Ensure staff are trained in local regulatory requirements and receive induction training, and that all staff required to comply with the relevant regulator’s training and competence regime do so • Advise staff on regulatory issues as and when required • Conduct and record regular monitoring to ensure that business and transactions of the Company are conducted in compliance with in-house rules and regulations, ensuring that client due diligence complaint procedures are adequate • Ensure any issues arising are satisfactorily addressed and resolved • Investigate issues of concern in relation to compliance as and when required • Assess the Company’s status of compliance and report periodically to senior management and the Board of Directors, keeping them informed of all relevant matters

Requirements:
• Experience in a similar compliance role within the financial services industry, preferably within a FinTech environment • In-depth knowledge of FCA regulations and UK financial services laws • Proven experience in developing and implementing compliance programs and policies • Strong analytical and problem-solving skills with the ability to assess complex compliance issues and develop effective solutions • Excellent communication and interpersonal skills, with the ability to influence and build relationships at all levels • High ethical standards and a commitment to integrity and professionalism • Demonstrated leadership and team management abilities: • Bachelor’s degree in Law, Finance, Business Administration, or a related field • Previously held SMF16/SMF17 role

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