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- Tasks: Lead compliance strategy and oversee regulatory integrity in a dynamic fintech environment.
- Company: Join a leading global fintech firm known for innovation in retail and digital financial services.
- Benefits: Enjoy a competitive salary of £180,000 plus benefits and hybrid working options.
- Why this job: Be a key player in shaping compliance culture and driving sustainable business growth.
- Qualifications: Must have FCA approved SMF16 experience and extensive regulatory compliance background.
- Other info: This is a senior leadership role with significant influence on strategic decisions.
The predicted salary is between 108000 - 252000 £ per year.
A leading global fintech firm, headquartered in the UK and renowned for its innovation in retail and digital financial services, is seeking a Head of Compliance (SMF16) to lead its compliance strategy and framework. This is a senior leadership role, pivotal to maintaining regulatory integrity, fostering a strong compliance culture, and supporting sustainable business growth across regulated activities.
The successful candidate will serve as the FCA-approved SMF16 (Head of Compliance), overseeing all compliance and conduct risk functions, and acting as a key advisor to senior management, executive leadership, and relevant governance committees.
Core Responsibilities:- Leadership & Governance: Lead the Compliance function, including oversight of regulatory compliance, financial crime, conduct risk, and data protection. Act as Chair or member of governance committees, contributing meaningfully to strategic and operational decisions. Deliver clear, actionable MI to executive stakeholders, identifying emerging risks and regulatory changes. Drive functional efficiency, leveraging automation and technology to enhance compliance operations.
- Regulatory Compliance Oversight: Develop and maintain a proportionate and robust compliance framework aligned with business activity, FCA expectations, and best practice. Ensure compliance with the FCA Conduct Rules, SYSC 6.1.23R, and all applicable MiFID obligations. Oversee the firm’s regulatory permissions and ensure they are appropriately mapped to current and future operations. Maintain responsibility for ensuring all personal data is processed in accordance with GDPR requirements.
- Policies, Procedures & Advisory: Develop and maintain up-to-date compliance and conduct policies, ensuring alignment with regulatory change and business evolution. Provide guidance and training to staff engaging in regulated activity, with a focus on delivering good outcomes for retail customers. Lead on the firm’s annual review of Terms & Conditions, customer documentation, and complaints handling process.
- Monitoring & Reporting: Design and lead the second-line compliance monitoring programme based on a risk-based Compliance Risk Assessment. Conduct thematic reviews and horizon scanning to identify risks and provide strategic recommendations. Produce regular, insightful reporting for Boards, Committees, and Regulators where required.
- Operational & Risk Responsibilities: Act as Operational Risk Coordinator for the department, managing RCSAs, OREs, and remediation tracking. Collaborate with the Risk function to ensure accurate assessments of operational risk and outsourcing risks. Participate in wider firm governance initiatives including ICAAP, ILAAP, RRP, and the development of the Risk Appetite Framework (RAF).
- Previous FCA approved SMF16 experience is essential.
- Extensive experience in regulatory compliance within financial services preferably within banking, retail finance, or digital platforms.
- Deep understanding of FCA rules, MiFID, EMIR, PSD2, SYSC, and conduct frameworks.
- Proven ability to build and maintain a comprehensive second-line control environment.
- Strong leadership skills, with a track record of developing high-performing compliance teams.
- Experience working with UK regulatory bodies and staying ahead of fast-moving regulatory developments.
- Expertise in data protection and operational risk oversight.
Head of Compliance SMF16 employer: ETRA Talent
Contact Detail:
ETRA Talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance SMF16
✨Tip Number 1
Network with professionals in the fintech and compliance sectors. Attend industry events, webinars, or conferences to meet potential colleagues and learn about the latest trends in regulatory compliance. This can help you gain insights into what companies like us are looking for in a candidate.
✨Tip Number 2
Stay updated on the latest FCA regulations and compliance frameworks. Familiarise yourself with recent changes in the law and how they impact the fintech industry. This knowledge will not only prepare you for interviews but also demonstrate your commitment to staying ahead in the field.
✨Tip Number 3
Prepare to discuss your leadership experience in compliance roles. Think of specific examples where you've successfully led teams or projects that improved compliance processes. Highlighting your ability to build high-performing teams will resonate well with us as we seek strong leaders.
✨Tip Number 4
Research our company culture and values. Understanding our approach to compliance and how we integrate it into our business strategy will help you tailor your discussions during the interview process. Show us how your values align with ours and how you can contribute to our compliance culture.
We think you need these skills to ace Head of Compliance SMF16
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in regulatory compliance, particularly any previous roles as an FCA-approved SMF16. Emphasise your leadership skills and any achievements in building high-performing compliance teams.
Craft a Compelling Cover Letter: Your cover letter should clearly articulate your understanding of the fintech landscape and the importance of compliance within it. Discuss how your experience aligns with the core responsibilities outlined in the job description.
Showcase Relevant Skills: In your application, emphasise your knowledge of FCA rules, MiFID, and other relevant regulations. Provide examples of how you've successfully managed compliance frameworks and contributed to strategic decisions in previous roles.
Proofread and Edit: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects attention to detail, which is crucial for a compliance role.
How to prepare for a job interview at ETRA Talent
✨Demonstrate Your Regulatory Knowledge
Make sure to brush up on FCA rules, MiFID, and other relevant regulations before the interview. Being able to discuss these frameworks confidently will show that you have the expertise needed for the Head of Compliance role.
✨Showcase Leadership Experience
Prepare examples of how you've successfully led compliance teams in the past. Highlight your ability to develop high-performing teams and how you've contributed to a strong compliance culture within your previous organisations.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about challenges you've faced in regulatory compliance and how you navigated them, as this will demonstrate your practical experience.
✨Emphasise Your Strategic Vision
Be ready to discuss your vision for the compliance function and how you would align it with the company's goals. Articulate how you would leverage technology and automation to enhance compliance operations, which is crucial for a fintech firm.
