At a Glance
- Tasks: Lead the UK Compliance function and manage regulatory engagement with the FCA.
- Company: Fast-growing, tech-led financial services business in insurance and fintech.
- Benefits: Competitive salary, remote work options, and significant influence on business growth.
- Other info: Opportunity to lead in a scaling organisation with excellent career prospects.
- Why this job: Shape compliance strategy in a dynamic environment and drive impactful change.
- Qualifications: 8+ years in Compliance or related fields with strong FCA knowledge.
The predicted salary is between 80000 - 100000 £ per year.
A high-impact Compliance leadership opportunity within a fast-growing, technology-led financial services business operating across insurance and fintech. Reporting to the Chief Risk Officer, you will lead the UK Compliance function, act as the firm's primary FCA contact, and be put forward for approval under the Senior Managers & Certification Regime (SMCR). This role offers broad exposure across regulatory compliance, financial crime, governance, consumer duty, and risk management, with significant influence on business growth, product development, and regulatory strategy.
Key Responsibilities
- Lead the UK Compliance function and assume SMF responsibilities following FCA approval.
- Act as the primary liaison with the FCA, managing regulatory engagement, submissions, and notifications.
- Maintain and enhance Compliance and Financial Crime frameworks, ensuring they remain effective and scalable.
- Oversee compliance monitoring, risk assessments, controls testing, incident management, and regulatory reporting.
- Lead Consumer Duty and AML/CTF programmes, including governance, monitoring, and reporting obligations.
- Support new product launches, partnerships, and market expansion initiatives from a regulatory perspective.
- Provide reporting and insight to senior leadership and the Board on compliance, conduct risk, financial crime, and regulatory developments.
Requirements
- 8+ years' experience in Compliance, Financial Crime, Risk, or Legal roles within insurance, insurtech, fintech, banking, payments, or other regulated financial services environments.
- Experience operating at, or ready to step into, an FCA-approved Senior Manager Function role.
- Strong knowledge of FCA regulations, Consumer Duty, SMCR, AML/CTF requirements, and wider UK regulatory frameworks.
- Proven ability to build pragmatic compliance frameworks within high-growth or technology-led businesses.
- Strong stakeholder management skills with experience engaging regulators, senior leadership, and Boards.
This is an excellent opportunity to take ownership of a critical function within an innovative, scaling organisation and play a key role in shaping its regulatory and compliance strategy.
Senior Compliance Manager in England employer: Broadgate
Join a dynamic and innovative financial services firm that prioritises compliance and regulatory excellence in a technology-driven environment. With a strong focus on employee growth, we offer comprehensive training and development opportunities, fostering a collaborative work culture that values your contributions. Enjoy the flexibility of UK remote or London hybrid working arrangements, allowing you to balance your professional and personal life while making a significant impact on our compliance strategy.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Manager in England
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and fintech sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and recent compliance trends. We recommend creating a cheat sheet of key topics to discuss. This will help you showcase your expertise and confidence during those crucial conversations.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you and match your skills. Tailor your approach to each company to stand out from the crowd!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Share any additional insights or thoughts you have about the role, showing your enthusiasm and commitment to the position.
We think you need these skills to ace Senior Compliance Manager in England
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Senior Compliance Manager role. Highlight your experience in compliance, financial crime, and risk management, especially in tech-led environments. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Mention specific experiences that relate to FCA regulations and your ability to lead compliance functions. Let us know what excites you about joining StudySmarter!
Showcase Your Stakeholder Skills:In your application, emphasise your stakeholder management skills. We’re looking for someone who can engage effectively with regulators and senior leadership. Share examples of how you've successfully navigated these relationships in the past.
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Make sure you brush up on FCA regulations, Consumer Duty, and SMCR before the interview. Being able to discuss these topics confidently will show that you're not just familiar with compliance but also ready to lead the function effectively.
✨Showcase Your Experience
Prepare specific examples from your 8+ years in Compliance or Financial Crime roles. Highlight situations where you've built compliance frameworks or engaged with regulators. This will demonstrate your hands-on experience and ability to handle the responsibilities of the role.
✨Engage with Stakeholders
Think about how you've managed relationships with senior leadership and Boards in the past. Be ready to discuss your approach to stakeholder management and how you can leverage those skills to influence regulatory strategy in this new role.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance challenges and future initiatives. This shows your genuine interest in the role and helps you understand how you can contribute to their growth and regulatory success.
