At a Glance
- Tasks: Lead compliance initiatives and ensure regulatory adherence across UK and EMEA operations.
- Company: Join a fast-growing global organisation with a focus on innovation and collaboration.
- Benefits: Competitive salary, flexible remote work options, and opportunities for professional growth.
- Other info: Dynamic team environment with excellent career advancement opportunities.
- Why this job: Make a real impact in regulatory compliance while working with senior leaders in the industry.
- Qualifications: 6-10 years in compliance or regulatory roles within financial services; strong FCA knowledge required.
The predicted salary is between 99000 - 121000 £ per year.
- Regulatory & Compliance (UK & EMEA) - Vice President
- London, England
About the Role i Capital is seeking a Vice President, Regulatory & Compliance to join its International Regulatory & Compliance Team, based in London.
This role will support a broad range of regulatory, compliance, corporate governance, and risk management activities across the firm's UK and EMEA operations.
The successful candidate will work closely with senior members of the International Regulatory & Compliance Team to help maintain and enhance the firm's compliance framework, support regulatory obligations, and partner with the business teams to ensure that our UK & EMEA offices are operating within the letter and the spirit of the regulations.
This role offers an excellent opportunity to gain exposure to multiple regulatory regimes, private markets distribution, corporate governance, and international compliance matters within a fast-growing global organization.
Responsibilities
- Support the development and enhancement of the UK and EMEA Compliance Framework, including overseeing compliance policies, procedures, and regulatory inventories.
- Monitor regulatory developments and advise business stakeholders on applicable UK, European, and Middle East regulatory requirements, including cross border distribution.
- Provide compliance guidance and reviews of financial promotions, distribution activities, conflicts of interest, AML/CFT, staff compliance, and other regulatory matters.
- Develop and undertake risk-based assessments, compliance monitoring and testing, and support the deployment and remediation of identified issues.
- Oversee and deliver compliance training and maintain appropriate training records.
- Support regulatory reporting and governance obligations, including FCA filings and attending board meetings.
- Maintain corporate governance records, regulatory registers and filings, board documentation, and support responses to regulatory enquiries, audits, and examinations.
- Assist with financial crime and employee compliance programmes, including third party onboarding, AML/CFT, sanctions, personal account dealing, gifts and entertainment, outside business interests, annual attestations, investigations, incidents, breaches, and regulatory recordkeeping.
- Improve compliance processes and controls, including through the responsible use of AI and other technology.
- Work closely with senior management, colleagues, regulators and external stakeholders to identify and mitigate regulatory and compliance risks for the firm and its clients.
Qualifications
- 6-10 years of experience in compliance, regulatory affairs, risk management, audit, legal, operations, or compliance consulting within financial services.
- Strong understanding of FCA regulatory requirements applicable to licensed firms, including SMCR, Conduct of Business Rules, financial promotions, AML/CFT, and governance obligations.
- Experience supporting regulatory reporting, financial promotion reviews, compliance monitoring, risk assessment and compliance advisory activities.
- Familiarity with UK and European regulatory requirements applicable to regulated financial services firms, including cross-border distribution considerations.
- Collaborative, proactive and adaptable team player, able to manage competing priorities in a fast-paced environment.
- Understanding of financial crime requirements, including AML, sanctions, and KYC obligations.
- Experience developing or supporting compliance training and monitoring programmes.
- Excellent written and verbal communication, analytical, and organizational skills.
- Knowledge of private markets, investment funds, wealth management, or fund distribution would be advantageous.
- Advanced Microsoft Office skills; experience with compliance technology platforms and workflow management systems is advantageous.
The role reports to the International Regulatory & Compliance leadership team and works closely with colleagues across Legal, Risk, Client Solutions, Product, Operations, Finance and Corporate Governance functions.
The role will require the candidate to hold FCA approval to carry out the SMF17 Money Laundering Reporting Officer (MLRO) Senior Management Function.
We believe the best ideas and innovation happen when we are together.
Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.
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Regulatory & Compliance (UK & EMEA) - Vice President employer: iCapital
iCapital is an exceptional employer, offering a unique opportunity for the Vice President of Go-to-Market Europe to lead a pioneering business line in a dynamic and supportive environment. With a strong emphasis on employee growth, our culture fosters collaboration and innovation, allowing you to leverage established relationships while building new partnerships across the UK and Europe. Enjoy the flexibility of a hybrid work model, competitive compensation, and the chance to make a significant impact in the private markets technology space.
StudySmarter Expert Advice🤫
We think this is how you could land Regulatory & Compliance (UK & EMEA) - Vice President
✨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 iCapital looking for candidates who are engaged and informed.
We think you need these skills to ace Regulatory & Compliance (UK & EMEA) - Vice President
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 iCapital. 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 iCapital
✨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 iCapital’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
