At a Glance
- Tasks: Lead compliance strategy and ensure regulatory excellence for our innovative fintech.
- Company: Dynamic fintech company focused on growth and integrity.
- Benefits: Competitive salary, leadership opportunities, and a culture of innovation.
- Other info: Join a high-performing team dedicated to scaling financial infrastructure responsibly.
- Why this job: Shape the future of compliance in a fast-paced environment while making a real impact.
- Qualifications: 7+ years in compliance, strong understanding of FCA rules, leadership experience.
The predicted salary is between 80000 - 100000 € per year.
Requirements
- 7+ years of experience in compliance and AML within a UK‑regulated investment firm, wealth manager, or brokerage
- Direct experience holding or being ready to hold SMF 16/17 (Head of Compliance & MLRO) status
- Proven expertise in the UK wealth/investments landscape, with a deep understanding of FCA rules (COBS, Consumer Duty)
- Significant experience with SIPPs/Pensions is highly desirable to support our retirement planning product expansion
- Strategic thinking with the ability to scale compliance practices in a high‑growth, fast‑paced fintech environment
- Pragmatic and commercial problem solving applied to the specific needs of our B2B and B2B2C business models
- Leadership experience in managing stakeholders and building a compliance‑focused culture that supports business innovation
- A legal background (lawyer or significant legal experience) is considered a plus for interpreting complex regulatory frameworks
What the job involves
- As the Head of Compliance and MLRO, you are responsible for the strategic oversight and execution of our regulatory framework in the UK
- You will hold the SMF 16 and SMF 17 functions for Upvest Securities Ltd, acting as a senior business partner to ensure our growth is built on a foundation of regulatory excellence
- You will lead the development of a robust compliance and AML function that aligns with FCA standards and supports our ambitious product roadmap, including the launch of our SIPP (pensions) offering
- By fostering a 'Compliance by Design' culture, you will enable Upvest to scale its financial infrastructure to millions of end‑users while maintaining the highest levels of integrity and trust with regulators, clients, and partners
- Serve as the primary UK regulatory lead, holding the Senior Management Functions (SMF 16/17) and acting as one of the main points of contact for the FCA
- Lead the regulatory workstream for our UK SIPP launch, ensuring our pension products meet all specific tax and FCA requirements from day one
- Oversee Financial Crime prevention, providing AML guidance, and maintaining oversight of fraud, bribery, and sanctions risks
- Review and enhance the risk‑based Compliance Monitoring Programme (CMP). Ensure that our B2B partners are meeting their integrated compliance obligations
- Implement data‑driven monitoring and reporting to ensure continuous adherence to COBS, CASS, SYSC, and the Consumer Duty
- Partner with Product, Engineering and Growth teams to integrate compliance considerations into the development of new investment products and automated workflows, and provide guidance and support for client discussions on regulatory topics where required
- Act as a senior advisor to the Board and Management providing independent challenge and translating complex UK regulatory developments into actionable strategic insights and policies
- Lead and develop a high‑performing UK compliance function, fostering a culture of technical excellence, autonomy, and proactive risk mitigation
Head of Compliance & MLRO employer: Deepstreamtech
At Upvest, we pride ourselves on being an exceptional employer that champions a culture of compliance and innovation in the fast-paced fintech landscape. Our commitment to employee growth is evident through our robust training programmes and leadership opportunities, ensuring that you can thrive while contributing to our mission of regulatory excellence. Located in the heart of the UK financial sector, we offer a dynamic work environment where your expertise will directly influence our ambitious product roadmap and help shape the future of investment solutions.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance & MLRO
✨Tip Number 1
Network like a pro! Get out there and connect with industry professionals on LinkedIn or at events. We all know that sometimes it’s not just what you know, but who you know that can help you land that dream job.
✨Tip Number 2
Prepare for interviews by researching the company inside out. Understand their compliance culture and recent developments in the UK regulatory landscape. We want you to walk in feeling confident and ready to impress!
✨Tip Number 3
Showcase your expertise! Bring examples of how you've tackled compliance challenges in the past. We love hearing about real-life experiences that demonstrate your strategic thinking and problem-solving skills.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets the attention it deserves. Plus, we’re always on the lookout for passionate candidates who are ready to make a difference in the fintech world.
We think you need these skills to ace Head of Compliance & MLRO
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the specific skills and experiences that match the Head of Compliance & MLRO role. Highlight your 7+ years in compliance and AML, especially within a UK-regulated environment, to show us you’re the right fit.
Showcase Your Leadership Skills:We want to see how you've led teams and built a compliance-focused culture. Share examples of how you've managed stakeholders and fostered innovation while ensuring regulatory excellence.
Demonstrate Strategic Thinking:In your application, illustrate your ability to think strategically about compliance in a fast-paced fintech environment. We’re looking for someone who can scale compliance practices effectively, so give us concrete examples!
Apply Through Our Website:Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensure you’re considered for this exciting opportunity at StudySmarter.
How to prepare for a job interview at Deepstreamtech
✨Know Your Regulatory Stuff
Make sure you brush up on FCA rules, especially COBS and Consumer Duty. Being able to discuss these regulations confidently will show that you’re not just familiar with compliance but that you can apply it strategically in a fast-paced fintech environment.
✨Showcase Your Leadership Skills
Prepare examples of how you've built a compliance-focused culture in previous roles. Highlight your experience in managing stakeholders and leading teams, as this is crucial for the Head of Compliance & MLRO position.
✨Be Ready for Strategic Discussions
Think about how you would scale compliance practices in a high-growth setting. Be prepared to discuss specific strategies you’ve implemented in the past and how they could apply to Upvest’s ambitious product roadmap.
✨Demonstrate Problem-Solving Abilities
Have a few scenarios ready where you’ve tackled complex regulatory challenges. This will help illustrate your pragmatic approach to compliance and your ability to adapt to the unique needs of B2B and B2B2C business models.
