We are seeking an experienced Head of Compliance UK to lead the Compliance function within a UK-authorised firm. This is a senior role with accountability under the Senior Managers & Certification Regime (SMCR), covering SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) responsibilities.
The successful candidate will be responsible for maintaining an effective compliance and financial crime framework, ensuring adherence to FCA requirements (including SYSC, COBS and MAR), and supporting a strong culture of governance and conduct.
Key Responsibilities
Strategy & Oversight
* Develop and maintain a risk-based compliance monitoring programme
* Oversee regulatory training to ensure it is relevant and effective
* Maintain and enhance the firm’s policy and control framework
* Monitor regulatory developments and ensure appropriate implementation
* Provide compliance advice across the business
* Identify and manage compliance risks
* Deliver regular reporting to senior management and governance committees
* Ensure appropriate resourcing within the Compliance function
Financial Crime
* Oversee AML, anti-bribery, corruption and modern slavery frameworks
* Ensure effective systems and controls are in place to mitigate financial crime risks
* Support firm-wide adherence to regulatory obligations
* Oversee delivery of financial crime training
Regulatory & Governance
* Act as a primary contact for the UK regulator
* Oversee regulatory reporting and breach management
* Lead or oversee investigations into potential compliance issues
* Identify areas of risk and implement remediation plans
* Ensure appropriate escalation of regulatory matters
Culture & Conduct
* Promote a strong culture of compliance and ethical behaviour
* Support effective management of conflicts of interest and Consumer Duty obligations
Leadership
* Lead and develop the UK Compliance team
* Support employee development and engagement
* Collaborate with international stakeholders to ensure alignment of policies and standards
Requirements
* Significant experience in a senior compliance role within a UK-regulated financial services firm
* Strong knowledge of FCA regulations and SMCR
* Experience operating as, or readiness to step into, an SMF16/SMF17 role
* Strong understanding of financial crime frameworks
* Effective leadership and stakeholder management skills
This is an opportunity to take on a key leadership role with broad responsibility across compliance, regulatory engagement and financial crime oversight.