Experience and Knowledge
- Minimum of five years’ experience in a senior compliance leadership role within a UK FCA-regulated firm, holding SMF16 (Compliance Oversight) or equivalent responsibilities, with a strong grasp of the role’s scope, duties, and regulatory expectations
- At least ten years’ experience in compliance within the venture capital, private equity, lending, investment management, or broader financial services sectors
- In-depth knowledge of FCA regulations, particularly CASS and COBS, including the financial promotion rules relevant to non-mainstream funds, and a solid understanding of applicable EU directives such as AIFMD
- Comprehensive understanding of the FCA’s Consumer Duty requirements
- Good working knowledge of data protection frameworks, including the UK GDPR and related legislation
- Experience providing risk management leadership and oversight within the asset or investment management industry
Candidate Profile
- Combines a practical, solutions-oriented mindset with strong technical accuracy and attention to detail
- Proactive and self-motivated, with the ability to take full ownership of their area of responsibility
- Adaptable to changing requirements while maintaining professional integrity and the ability to assert well-reasoned positions when necessary
