Head of Legal, Risk and Compliance at AI wealth management platform founded by ex-Revolut leaders

Job Title

Head of Legal, Risk and Compliance

Salary

Not Disclosed

Company Description

London-based AI wealth management platform co‑founded by ex‑Revolut leaders

Job Description

Join an early‑stage fintech as the first legal and compliance hire, building the regulatory framework for AI‑driven financial advice from scratch. You will hold SMF16/17 permissions, leading FCA authorization strategies for advice permissions while designing governance for an AI advisor to ensure safety, suitability, and compliance in a rapidly evolving market.

Location

London, UK

Why this role is remarkable

• Founding‑team opportunity to define the regulatory standards for AI‑native financial services in the UK, working directly with ex‑Revolut leadership.
• Own the transition from AISP to full advice permissions, shaping how sophisticated wealth management is democratized for the mass market.
• High‑impact, player‑coach role with meaningful equity in a well‑funded startup operating at the intersection of generative AI and private banking.

What You Will Do

• Act as the primary FCA point of contact and Senior Manager accountable for compliance oversight (SMF16) and MLRO (SMF17) duties.
• Lead end‑to‑end applications for new regulatory permissions and design the firm’s overarching SMCR governance and risk frameworks.
• Collaborate with engineering and ML teams to build safe, compliant AI advice protocols that meet Consumer Duty and MiFID II standards.

The ideal candidate

• UK‑qualified solicitor or senior compliance leader with 5+ years of experience in UK financial services regulation and the FCA Handbook.
• Proven track record in a consumer‑facing fintech, wealthtech, or neo‑bank with eligibility for (or existing) SMF16/17 approval.
• Strategic, first‑principles thinker comfortable navigating ambiguity where traditional regulatory playbooks have not yet been written for AI applications.

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