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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 144000 - 216000 £ 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 where you can meet people who are already in similar roles or companies. This can provide you with valuable insights and potentially lead to referrals.
✨Tip Number 2
Stay updated on the latest regulatory changes and trends in the financial services industry. Subscribe to relevant newsletters, follow key influencers on social media, and engage in discussions on platforms like LinkedIn. This knowledge will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 3
Prepare for potential interview questions by practising your responses to common scenarios faced by Heads of Compliance. Think about how you would handle specific regulatory challenges or compliance issues, and be ready to discuss your past experiences and successes in these areas.
✨Tip Number 4
Research StudySmarter and our values thoroughly. Understand our approach to compliance and how it aligns with your own philosophy. Being able to articulate how you can contribute to our compliance culture will set you apart from other candidates.
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 your relevant experience in regulatory compliance, particularly any previous roles as an FCA-approved SMF16. Emphasise your leadership skills and any specific achievements in compliance strategy.
Craft a Compelling Cover Letter: Write a cover letter that clearly outlines your understanding of the fintech landscape and the importance of compliance within it. Mention how your background aligns with the core responsibilities listed in the job description.
Showcase Relevant Skills: In your application, specifically mention your expertise in FCA rules, MiFID, and data protection. Provide examples of how you've successfully led compliance initiatives or teams in the past.
Highlight Leadership Experience: Since this is a senior role, be sure to detail your leadership experience. Discuss how you've built high-performing teams and contributed to governance committees, as well as any strategic decisions you've influenced.
How to prepare for a job interview at ETRA Talent
✨Showcase Your Regulatory Knowledge
Make sure to demonstrate your deep understanding of FCA rules, MiFID, and other relevant regulations during the interview. Prepare specific examples of how you've successfully navigated compliance challenges in previous roles.
✨Highlight Leadership Experience
As this role requires strong leadership skills, be ready to discuss your experience in building and managing high-performing compliance teams. Share stories that illustrate your ability to lead effectively and foster a positive compliance culture.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about potential regulatory challenges the company might face and how you would address them, showcasing your strategic thinking.
✨Demonstrate Your Adaptability
The fintech landscape is fast-paced and ever-changing. Be prepared to discuss how you've adapted to regulatory changes in the past and how you plan to stay ahead of future developments. This will show your proactive approach to compliance.
