Chief Compliance Officer

Our client is an FCA and overseas regulated financial services firm based in Central London. They are keen to appoint an experienced Head of Compliance to lead their busy compliance team. While being a relatively small team, they have a complex workload and are regulated in the UK and other jurisdictions.

This is an SMF level role, which involves close collaboration with other senior members of the business and with a diverse range of stakeholders.

The main tasks are to ensure the firm adheres to all applicable laws, regulations, and internal policies. This involves horizon scanning, training, KYC and AML, and all other aspects of running a regulated compliance function. A large part of the role is developing colleagues and ensuring that they are coached and mentored. In addition, the appointee will work with overseas regulators and external lawyers.

Our client is keen to engage with seasoned compliance professionals (ideally from a sell-side firm) who have significant senior-level experience and who have had previous SMF16 & SMF17 responsibility. Applicants will have a proven track record of building and managing high-performing compliance teams. This is an excellent opportunity with a good remuneration package.

While all suitably qualified candidates will be considered, there is a preference for those who are available to begin within one month, though this is not essential.

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