Senior Compliance role in London

Senior Compliance OfficerThis is a genuinely hands‐on compliance role within a best‐in‐class financial services business at an exciting stage of its European growth. The organisation is looking for someone who enjoys being in the detail, taking ownership and actively delivering, rather than operating at arm\’s length.

A core requirement of the role is end‐to‐end responsibility for financial promotions under UK and EU regulation. You will personally reviewing, approving and signing off marketing, sales, distribution and research materials prior to release, holding approver rights and maintaining clear audit trails across compliance platforms such as RedOak and Gateway21. Strong, practical marketing approvals experience is essential.

Beyond financial promotions, you will run and deliver compliance training for European employees via platforms such as Skillcast, own and maintain risk registers, and take responsibility for the review, implementation and ongoing maintenance of policies and procedures. You will also manage due diligence questionnaires with counterparties and make day‐to‐day regulatory judgement calls, balancing regulatory rigour with commercial reality.

This role requires deep knowledge of UK and EU financial services regulation and the confidence to operate autonomously. Experience within digital assets or crypto regulation is desirable but not essential. With a European licensing application likely in the future, any prior experience supporting regulatory authorisations would be advantageous.

You will work closely with an exceptional General Counsel who is known for being highly intelligent, emotionally intelligent and genuinely supportive, with a strong track record of mentoring and developing talent. The business itself is best in class, with an impressive, high‐calibre team and a culture that values ownership and accountability.

While this is very much a doing role today, there is clear scope to step into a leadership position over time as the compliance function continues to evolve. It is ideally suited to someone who wants to be hands‐on, visible and influential, and who enjoys building and shaping a function from the ground up.

Ideally you will have 5 – 9 years of experience however candidates outside this range will be considered.

Our client has recently taken over this area and this is her first new hire so would like someone asap.

Please contact Charlotte at cbutterfield@kgglobal.co.uk or call 07968955284 .

Hybrid: 2 days per week in London.

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