At a Glance
- Tasks: Lead compliance for a fast-growing fintech and shape its UK presence from the ground up.
- Company: Join one of Europe's fastest-growing fintechs with world-class backers.
- Benefits: Competitive salary, stock options, and flexible hybrid working.
- Other info: Inclusive workplace welcoming diverse applicants.
- Why this job: Be the first compliance hire and make a real impact in a dynamic environment.
- Qualifications: 5-12 years of compliance experience in financial services, especially within FCA-regulated firms.
The predicted salary is between 100000 - 130000 £ per year.
The Business Harmonic are excited to be partnering with one of Europe's fastest-growing fintechs as it launches into the UK market. In just two years the business has gone from a standing start to more than $1bn in assets on its platform, and has recently closed a substantial Series A led by a top-tier Venture Capital Fund with support from Founders and Senior Operators behind several of Europe's best-known fintech unicorns. With that firepower behind it and real momentum in the market, the company is now building out its UK presence, and this role sits right at the heart of that.
This is a rare chance to be the first compliance hire on the ground and to shape how a business with genuine traction, world-class backers and career-defining growth establishes itself in one of its most important markets.
The Role
As Head of UK Compliance & MLRO, you will build and lead the compliance function for the company's newly created UK entity from the ground up. This is an investment firm compliance role at its core: the business is seeking FCA authorisation as an investment firm under MiFID, and you will lead that application end-to-end before owning the ongoing framework that follows. Reporting into the Group Head of Compliance, and reporting on compliance matters directly to the board of the UK entity, you will serve as UK MLRO and be the firm's primary point of contact with UK regulators. This is a genuinely hands-on, build-from-scratch mandate with real autonomy and senior exposure, suited to someone who has worked inside an FCA-regulated investment firm and knows MiFID obligations from the inside.
Key Responsibilities
- Lead the UK licensing initiative, including the FCA authorisation application as an investment firm under MiFID, and act as the primary point of contact with the FCA.
- Build the UK entity's compliance infrastructure from scratch, including comprehensive policies, procedures, systems and controls.
- Serve as MLRO and AML/CFT Compliance Officer for the UK entity, owning the UK AML/CFT programme end-to-end.
- Report on compliance matters to the board of the UK entity and ensure the timely submission of all mandatory regulatory reporting.
- Provide independent oversight of the UK compliance framework, ensuring requirements are robust and effectively implemented.
- Provide compliance advice on market expansion, new product development and operational change.
- Manage compliance requirements from counterparties such as banks, asset managers and PSPs, acting as the primary compliance contact for partner queries and audits.
- Stay current on UK and FCA regulatory developments, assess their impact on the business, and expand policies and procedures as needed.
Essential Experience
- 5 to 12 years of compliance experience in financial services.
- Direct, hands-on compliance experience within an FCA-regulated investment firm, broker-dealer, asset manager or wealth manager.
- Strong working knowledge of MiFID Org Reg, COBS, SYSC, SMCR and the FCA Handbook as applied to investment firms.
- Experience leading or co-leading an FCA investment firm licence application.
- Proven experience as an MLRO or in a senior AML role at an FCA-regulated entity, including ownership of AML/KYC processes, transaction monitoring and SAR reporting.
- Excellent written communication, with the ability to draft regulatory submissions and board reports.
- Comfortable building from scratch in a fast-paced, early-stage environment.
Desirable Experience
- Prior experience at a start-up or high-growth fintech.
- Law degree or a professional compliance certification (ICA, ACAMS or CAMS).
Salary: £100,000–£130,000 + stock options (negotiable depending on experience)
Location: London, hybrid working
Start Date: Flexible, considering notice periods
At Harmonic, we are dedicated to fostering an inclusive and equitable workplace. We actively welcome applications from individuals of all backgrounds and assure you that every candidate will be thoughtfully considered for the roles we represent, without regard to race, religion, gender expression, disability, or sexual orientation.
Head of UK Compliance & MLRO | Series A Fintech | London in Slough employer: Harmonic Finance™ | Certified B Corp
Join a dynamic alternative investment business in the heart of London, where you will not only gain hands-on experience as a Finance Assistant but also benefit from a comprehensive study support package for your professional qualifications. With a strong emphasis on employee growth and a collaborative work culture, this role offers a unique opportunity to develop your finance career while being part of a supportive team that values diversity and inclusion.
Contact Details:
Harmonic Finance™ | Certified B Corp Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Head of UK Compliance & MLRO | Series A Fintech | London in Slough
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Harmonic Finance™ | Certified B Corp looking for candidates who are engaged and informed.
We think you need these skills to ace Head of UK Compliance & MLRO | Series A Fintech | London in Slough
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Harmonic Finance™ | Certified B Corp. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Harmonic Finance™ | Certified B Corp
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Harmonic Finance™ | Certified B Corp’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
