At a Glance
- Tasks: Lead compliance oversight and engage with the FCA to ensure regulatory adherence.
- Company: Dynamic financial services firm focused on risk and compliance.
- Benefits: Competitive salary, leadership role, and opportunity to shape compliance culture.
- Other info: Join a collaborative team dedicated to ethical conduct and risk awareness.
- Why this job: Make a significant impact in a senior role within a leading financial institution.
- Qualifications: Extensive experience in financial services regulation and strong leadership skills.
Chief Compliance Officer (SMF16) | Wealth & Investment Platform
Reporting to: Chief Risk Officer | Function: Risk & Compliance (Regional Senior Leadership Team)
The role
We're partnering with our client to appoint a Chief Compliance Officer (SMF16 – Compliance Oversight) for its UK entity. This is an FCA-approved Senior Manager Function with independent responsibility for the adequacy and effectiveness of the firm's compliance governance, systems and controls, reporting directly and without restriction to the UK Board and Board Risk & Compliance Committee.
Sitting within the independent second line and reporting to the Chief Risk Officer, you'll be the firm's primary compliance contact with the FCA — leading supervisory engagement, embedding the global risk and compliance framework across the region, and ensuring the Board receives clear, candid insight into regulatory risk. You'll be involved in all material decisions affecting compliance risk, from new product and client transitions through to platform transformation, outsourcing and operational change.
Key responsibilities
- Own the design and effectiveness of the UK regulatory compliance framework, ensuring it meets FCA requirements and local regulatory expectations across the end-to-end delivery model.
- Provide independent reporting and escalation to the UK Board and Board Risk & Compliance Committee on all regulatory compliance risks, breaches and areas of concern, delivering high-quality MI within a "no surprises" culture.
- Act as the firm's primary point of contact with the FCA, leading transparent, proactive supervisory engagement and overseeing all regulatory responses and communications.
- Ensure compliance with core regulatory obligations including SYSC, COCON, SM&CR, Operational Resilience, Consumer Duty, CASS (where applicable) and relevant prudential requirements.
- Oversee the compliance monitoring programme, the regional risk and control framework, and the effective implementation of global policies and standards, ensuring issues are remediated on time.
- Provide compliance oversight into deal teams, strategic initiatives, technology change and operational transformation through risk assessment and review.
- Oversee regulatory breach assessments, investigations, remediation and reporting, and conduct second-line assurance over first-line regulatory processes.
- Lead the regional compliance function, promoting a strong culture of risk awareness, regulatory adherence and ethical conduct.
What we're looking for
- Deep, demonstrable knowledge of UK financial services regulation and regulatory frameworks.
- Extensive senior-level experience within a regulated financial services environment, with a strong grasp of risk management, compliance frameworks, control design and monitoring.
- Proven experience interacting with the FCA and attending Board or Board-level risk committees.
- Strong people leadership, excellent written and verbal communication, and the ability to challenge senior leaders constructively.
- Ideally currently or previously approved as SMF16 (or equivalent).
Interim Chief Compliance Officer in London employer: Broadgate
As a leading fintech in the cross-border payments sector, we pride ourselves on fostering a dynamic and innovative work environment where compliance is viewed as a vital component of our infrastructure. Our London-based team enjoys a hybrid working model, competitive salary packages, and equity options, alongside opportunities for professional growth and direct collaboration with senior leadership. Join us to make a meaningful impact in a role that empowers you to shape compliance strategies across multiple jurisdictions.
StudySmarter Expert Advice🤫
We think this is how you could land Interim Chief Compliance Officer in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Broadgate looking for candidates who are engaged and informed.
We think you need these skills to ace Interim Chief Compliance Officer in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Broadgate. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Broadgate
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Broadgate’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
