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- Tasks: Lead compliance and risk management in a dynamic fintech environment.
- Company: Innovative fintech company on a mission to democratise financial advice.
- Benefits: Competitive salary up to £100k, equity options, and flexible working arrangements.
- Why this job: Shape the future of financial advice while influencing at board level.
- Qualifications: Experience in compliance within fintech or investment services; SMF16/17 approved or eligible.
- Other info: Join a fast-paced team with significant growth potential and a commitment to inclusivity.
The predicted salary is between 72000 - 100000 £ per year.
This prominent and innovative business is seeking a Head of Compliance to take on SMF16/17 responsibilities and play a key strategic and leadership role in our growing fintech business. They believe everyone in the UK should have access to regulated financial advice, and they combine deep expertise in financial planning with the agility of digital innovation. Already well-established, this is an exciting opportunity to build on our success and shape the next chapter of their journey. They are committed to finding the right person for this role and offer genuine flexibility. The position can be full-time, taking on broad strategic and growth responsibilities, or part-time, with duties tailored to fit your available hours.
Key responsibilities:
- Hold SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) functions.
- Develop, implement, and maintain compliance and risk management frameworks suited to a fintech advisory environment.
- Ensure policies, processes, and systems fully meet FCA requirements.
- Advise senior management and the Board on governance, conduct, and regulatory risk, ensuring alignment with the mission of accessible advice.
- Lead the firm's relationship with the FCA and other authorities, representing the business confidently and credibly.
- Support product and service innovation, enabling compliant and controlled growth.
- Build, mentor, and lead the compliance function as the business scales, embedding a proactive, risk-aware culture.
About you:
- Experienced in compliance within fintech, wealth management, or investment services.
- Possibly a No. 2 or senior compliance manager looking to step up into your first Head of Compliance role.
- Approved or eligible for SMF16/17.
- Strong technical grounding in FCA regulation, AML/financial crime, Consumer Duty, governance, and risk frameworks.
- Excellent communicator and collaborator, able to work closely with the founder, leadership team, and external regulators.
- Thrive in a fast-moving, evolving environment, comfortable being both strategic and hands-on.
Why join?
- They are a business that's on a mission to democratise financial advice, making it accessible to everyone.
- Combining traditional strength with fintech innovation.
- Offering a genuine leadership opportunity full ownership of compliance and AML with influence at board level.
- Flexible by design, with options for full-time or part-time work to suit your circumstances.
- Providing competitive remuneration (up to £100k) plus equity in a business with significant growth potential.
If you're ready to step into a senior compliance leadership role, align your expertise with an inclusive mission, and help shape the future of financial advice, we'd love to hear from you. Applications are open for up to 30 days but may close early if a suitable candidate is found. Our recruitment process is fair and inclusive. If you need any adjustments, please let us know. Only shortlisted candidates will be contacted. To improve your chances, ensure you meet the criteria, have the right to work in the UK, and submit a clear, tailored CV showcasing your relevant experience.
Head of Compliance in City of London employer: Recruitment Rebellion
Contact Detail:
Recruitment Rebellion Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the fintech space and let them know you're on the lookout for a Head of Compliance role. You never know who might have the inside scoop on opportunities or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance frameworks. Be ready to discuss how you've tackled challenges in previous roles and how you can bring that experience to the table at this innovative company.
✨Tip Number 3
Showcase your leadership skills! Think about examples where you've built or mentored teams, especially in compliance. This is a key part of the role, so make sure you highlight your ability to foster a proactive, risk-aware culture.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you're serious about joining a company that's all about making financial advice accessible to everyone.
We think you need these skills to ace Head of Compliance in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance role. Highlight your experience in compliance within fintech and any relevant achievements that align with the job description. We want to see how your background fits perfectly with our mission!
Showcase Your Skills: Don’t just list your skills; demonstrate them! Use specific examples from your past roles to show how you’ve successfully managed compliance frameworks or led teams. This helps us see your potential impact on our business.
Be Clear and Concise: When writing your application, keep it clear and to the point. We appreciate straightforward communication, so avoid jargon and make sure your key points stand out. This will help us understand your qualifications quickly!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at Recruitment Rebellion
✨Know Your Regulations
Make sure you brush up on FCA regulations, AML, and Consumer Duty before the interview. Being able to discuss these topics confidently will show that you're not just familiar with compliance but also understand how it applies in a fintech context.
✨Showcase Your Leadership Skills
As a potential Head of Compliance, you'll need to demonstrate your ability to lead and mentor a team. Prepare examples from your past experiences where you've successfully built or managed a compliance function, highlighting your strategic thinking and hands-on approach.
✨Align with Their Mission
This company is all about making financial advice accessible. Be ready to discuss how your values align with their mission and how you can contribute to their goal of democratizing financial advice. This will show that you're not just looking for a job, but are genuinely interested in their vision.
✨Prepare Questions for Them
Interviews are a two-way street! Prepare insightful questions about their compliance culture, how they handle regulatory challenges, and what their expectations are for the Head of Compliance role. This shows your interest and helps you gauge if the company is the right fit for you.
