Interim Regulatory Compliance Manager (Payments & MiFID)
We are seeking an experienced Interim Regulatory Compliance Manager to lead the Regulatory Compliance function across a growing payments and MiFID-regulated business.
This role combines central compliance oversight with hands‑on product advisory, supporting both payments and investment services activities. You will play a critical role in ensuring the business continues to scale responsibly within the expectations of the FCA and other UK regulators.
This is a high‑impact interim opportunity for a senior compliance professional who can quickly embed into the organisation, provide clear regulatory guidance, and strengthen governance frameworks in a fast‑paced environment.
The Role
You will be responsible for maintaining and enhancing a robust compliance framework covering governance, policies, regulatory engagement, monitoring, reporting, and regulatory change management — while acting as a strategic partner to product, technology, and commercial teams.
Key responsibilities include:
- Acting as primary contact for UK regulators (FCA, FOS, PSR)
- Coordinating responses to regulatory enquiries and submissions
Compliance Advisory
- Providing expert guidance across MiFID and Payment Services Regulations (PSRs 2017)
- Advising on CASS 7, safeguarding, Consumer Duty, EMIR, financial promotions, product governance and conduct risk
- Supporting individual accountability regimes, conflicts of interest, and remuneration matters
Business & Product Enablement
- Reviewing new products, features, and commercial initiatives
- Embedding regulatory expectations into product design and decision‑making
Regulatory Change & Horizon Scanning
- Leading regulatory change initiatives (e.g. Consumer Duty, Operational Resilience, safeguarding enhancements)
- Conducting impact assessments and overseeing implementation
Regulatory Reporting
- Overseeing regulatory notifications and returns (SUP 15, Major Incident Reporting, complaints returns, EMIR reporting)
- Managing submissions via FCA RegData/Connect
Second Line Oversight
- Reviewing and approving financial promotions and client communications
- Overseeing MiFID onboarding reviews (appropriateness & client categorisation)
- Reviewing escalated complaints and FOS responses
Governance & MI
- Enhancing Board and Committee reporting
- Supporting Compliance Monitoring planning and reviewing findings
- Managing and supporting a small regulatory compliance team
- Ensuring delivery of both BAU and ad‑hoc regulatory priorities
✅ What We’re Looking For
- Proven experience managing regulatory compliance teams
- Strong knowledge of PSRs 2017, MiFID II and Conduct of Business Rules
- Experience within a MiFID firm, bank, PSP, EMI, or regulator
- Direct engagement experience with the FCA and other UK regulators
- Deep understanding of client money (CASS 7), safeguarding, and EMIR reporting
- Experience preparing and submitting FCA notifications and returns
- Demonstrated delivery of major regulatory change initiatives
- Experience managing SMCR / individual accountability programmes
- Industry qualifications (CISI, ICA or equivalent)
You are a commercially aware compliance leader who can balance regulatory integrity with business growth. You are comfortable operating at pace, influencing senior stakeholders, and translating regulatory requirements into pragmatic, workable solutions.
This is an excellent opportunity for an interim professional who enjoys building structure, strengthening frameworks, and providing steady regulatory leadership during a critical period.
If this sounds like you — or you would like a confidential discussion — please get in touch.
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