A growing, FCA-regulated financial services organisation is looking to appoint a senior Compliance leader to support the continued evolution of its business.
The organisation is evolving quickly, with a focus on building a scalable and sustainable operating model. You’ll play a key role in shaping how compliance supports that journey.
This environment will suit someone who enjoys working at pace, taking ownership, and navigating complexity without excessive bureaucracy.
The Role
You will take ownership of the compliance framework, ensuring regulatory obligations are met while enabling the business to operate effectively in a dynamic environment.
This role requires strong technical expertise combined with commercial awareness, someone who can interpret regulation pragmatically and support business growth without compromising standards.
Key Responsibilities
- Act as SMF16 (or step into the responsibility), holding accountability for compliance under SMCR
- Design, implement, and maintain compliance frameworks, policies, and controls
- Provide guidance to senior stakeholders on regulatory matters and business initiatives
- Oversee compliance monitoring, regulatory reporting, and engagement with relevant authorities
- Maintain and enhance governance structures aligned to SMCR requirements
- Support and oversee frameworks relating to employee competence and regulatory standards
- Ensure regulatory compliance across a range of investment and advisory activities
- Monitor regulatory developments and translate these into practical business application
- Work closely with Risk, Audit, and other control functions to ensure a coordinated approach
- Contribute to business change initiatives, including structural and operational developments
About You
- Experience in a senior compliance leadership role within an FCA-regulated environment
- Previous SMF16 responsibility, or readiness to step into the function
- Strong knowledge of UK regulatory frameworks and governance expectations
- Experience within investment and/or advisory-led financial services businesses
- Understanding of capital, liquidity, and regulatory reporting requirements
- UCITS and Mifid experience necessary
- Experience supporting regulatory standards within customer-facing or advisory environments
#J-18808-Ljbffr…