Chief Compliance Officer

Reporting to: Chief Executive Officer (CEO) and Board of Directors

Regulatory Status: FCA-Regulated Financial Institution

Role Summary

The Head of Compliance is responsible for the development, implementation, and oversight of the firm's compliance framework, ensuring adherence to all applicable UK regulatory requirements, including those established by the Financial Conduct Authority (FCA), the Money Laundering Regulations 2017, the Proceeds of Crime Act (POCA), and other relevant legislation. The position serves as the primary compliance advisor to senior management and the Board of Directors and is responsible for maintaining a robust compliance culture across the organisation.

Key Responsibilities

• Develop, maintain, and oversee the firm's Compliance Monitoring Programme (CMP).
• Ensure ongoing compliance with FCA rules, guidance, and regulatory expectations.
• Advise senior management and the Board on regulatory developments and compliance risks.
• Design and implement compliance policies and procedures.
• Conduct regulatory risk assessments and compliance reviews.
• Oversee customer onboarding controls, KYC, CDD, EDD, and sanctions screening processes.
• Monitor financial crime controls, including AML, CTF, sanctions, fraud prevention, and anti-bribery measures.
• Coordinate regulatory reporting obligations and communications with the FCA.
• Manage regulatory inspections, audits, and compliance reviews.
• Deliver compliance training and awareness programmes to staff.
• Review new products, services, and business initiatives from a regulatory perspective.
• Prepare management information (MI) and compliance reports for senior management and the Board.
• Maintain regulatory registers, breaches logs, and compliance records.

Governance Responsibilities

• Act as the firm's Head of Compliance.
• Provide independent oversight of regulatory compliance arrangements.
• Escalate material compliance issues to senior management and the Board.
• Support the firm's Senior Managers & Certification Regime (SM&CR) framework where applicable.

Experience and Qualifications

• Minimum 7–10 years of compliance experience within a UK regulated financial institution.
• Strong knowledge of FCA Handbook requirements.
• Extensive experience in AML/CTF, sanctions compliance, and financial crime prevention.
• Experience interacting directly with UK regulators.
• Proven ability to design and implement compliance frameworks.
• Professional compliance qualification preferred (ICA, CISI, ACAMS, or equivalent).
• Degree in Law, Finance, Business Administration, or related field.

Skills

• Strong analytical and risk assessment capabilities.
• Excellent communication and stakeholder management skills.
• Ability to work independently and provide objective regulatory advice.
• Strong leadership and team management abilities.
• High level of integrity and professional judgment.

Authority Level

The Head of Compliance has unrestricted access to the Board of Directors and senior management and may elevate any material compliance concern that could expose the institution to regulatory, legal, financial, or reputational risk.

Career opportunities and professional development.

• Opportunity to work in an international environment.
• International training program.
• Position based in Central London.
• Possibility to travel.
• Permanently position.

The ideal candidate will be enthusiastic and possess analytical skills and a desire to learn and grow proactively to generate positive results, helping to comply with applicable laws and regulations. This individual is a self-starter, flexible, has a high level of integrity, and is action- and goal-oriented in a collaborative, fast-paced, team-oriented environment.