At a Glance
- Tasks: Lead compliance and risk functions in a dynamic fintech environment.
- Company: Innovative financial technology firm with a focus on global institutions.
- Benefits: Hybrid work model, competitive salary, and opportunities for professional growth.
- Other info: Fast-paced environment with significant exposure to executive leadership and regulatory bodies.
- Why this job: Make a real impact in compliance while working closely with senior leadership.
- Qualifications: 8+ years in compliance, strong knowledge of FCA regulations, and excellent stakeholder management skills.
The predicted salary is between 80000 - 100000 £ per year.
- Interim Senior Compliance Manager
- Initial 12-month FTC with temp to perm option.
Location
London/hybrid (3 days in office)
About the Role
We are seeking an experienced Interim Senior Compliance Manager to lead and execute the Compliance and Risk function within a growing financial technology business serving global financial institutions.
This is a senior role operating as a key second line of defence, partnering closely with Legal, Finance, Information Security, People and senior leadership teams.
The successful candidate will adopt a risk-based approach to compliance, ensuring robust governance, regulatory compliance and effective risk management across the organisation.
The role offers the opportunity to work within a dynamic and innovative financial services technology environment with significant exposure to executive leadership, regulators and major institutional clients.
Key Responsibilities
- Regulatory & Compliance Leadership
- Hold Senior Management Functions (SMF16 & SMF17).
- Manage regulatory relationships in a transparent and proactive manner.
- Advise senior management on regulatory obligations, compliance risks and regulated activities.
- Ensure regulatory filings and submissions are completed accurately and on time.
- Support regulatory applications, approvals and information requests.
- Maintain and oversee the compliance monitoring programme.
- Develop and maintain a robust risk and control framework, including risk registers and compliance policies.
- Prepare compliance and risk reporting for executive and board-level stakeholders.
- Conduct risk assessments and implement mitigating controls where required.
- Manage and maintain regulatory registers, including conflicts of interest, gifts and hospitality, and breaches.
- Compliance Operations
- Provide day-to-day compliance advice across business and support functions.
- Monitor compliance incidents, investigations, complaints, whistleblowing matters and data breaches.
- Ensure Statements of Responsibilities, Fitness & Propriety Assessments and relevant certifications are maintained.
- Review and enhance compliance processes to improve efficiency, automation and control effectiveness.
- Regulatory Change & Financial Crime
- Monitor and assess regulatory developments across the UK, EU and US.
- Support the implementation of regulatory and legislative changes.
- Review compliance policies and procedures to ensure ongoing effectiveness and alignment with applicable regulations.
- Conduct financial crime and third-party risk assessments and support associated control frameworks.
- Stakeholder Management
- Work closely with Legal, Finance, People, Marketing and Information Security teams.
- Support client due diligence processes, audits and compliance reviews.
- Contribute to staff compliance training and awareness programmes.
- Review external communications and marketing materials from a compliance perspective.
Skills & Experience
The successful candidate will possess
- 8+ years' compliance and risk experience within an FCA-regulated financial services environment.
- Strong practical knowledge of the FCA Handbook and regulatory expectations.
- Experience holding or supporting Senior Management Functions under SMCR.
- Understanding of UK, EU and US regulatory developments.
- Strong knowledge of financial services products, technology and operational risk frameworks.
- Excellent analytical and problem-solving skills.
- Strong communication and stakeholder management abilities.
- Ability to operate independently while influencing senior stakeholders.
- Experience managing multiple priorities in a fast-paced environment.
- Proficiency in Microsoft Word, Excel and Power Point.
- Preferred
- Degree in Finance, Business, Law or a related discipline.
- Experience within capital markets, fintech, market infrastructure, securities finance or related sectors.
- #J-18808-Ljbffr
Interim Senior Compliance Manager - SMF16/17 employer: Taylor Root
At Taylor Root, we pride ourselves on being an exceptional employer, offering a dynamic work culture that fosters creativity and collaboration in the heart of London. Our commitment to employee growth is evident through tailored development opportunities and a supportive environment where innovative legal solutions thrive. Join us to be part of a forward-thinking team that values your expertise and encourages meaningful contributions to our exciting creative business.
StudySmarter Expert Advice🤫
We think this is how you could land Interim Senior Compliance Manager - SMF16/17
✨Dive into Industry Groups
Join compliance and risk management groups on platforms like LinkedIn and Facebook. These communities often share temp job postings and insights. You’d be surprised at how many temporary gigs float around through word of mouth!
✨Showcase Your Expertise
Consider creating content on compliance topics that get you noticed—think LinkedIn articles or even a blog. This not only shows off your knowledge but can grab the attention of companies like Taylor Root when they’re searching for someone to fill a temporary position.
✨Tap into Recruitment Agencies
Reach out to recruitment agencies that specialise in compliance and risk roles. They’re usually in touch with companies looking to fill temporary roles, which can save us a lot of time in our job search.
✨Go Local with Networking
Attend local compliance and risk seminars or workshops. Meeting professionals in our area can open up temp opportunities, and it’s a great way to make your face known in the industry—plus, you might even meet someone from Taylor Root!
We think you need these skills to ace Interim Senior Compliance Manager - SMF16/17
Some tips for your application 🫡
Show Your Compliance Know-How:When you’re applying for a compliance-risk role like Interim Senior Compliance Manager - SMF16/17, make sure to highlight your understanding of industry regulations and risk management principles. Mention any relevant coursework, certifications, or projects that showcase your expertise in these areas—it's what sets you apart!
Highlight Your Analytical Skills:In the compliance-risk field, strong analytical skills are essential. Talk about your experiences that required critical thinking and data analysis, whether in past roles, internships, or academic projects. Show us how you've identified risks and implemented solutions in the past.
Tailor Your CV for the Temporary Role:Since this is a temporary role, focus on your availability and flexibility in your CV. Highlight any previous short-term roles or projects that demonstrate your ability to adapt quickly and deliver results in a fast-paced environment. This helps employers see you as an easy fit in their team!
A Concise Cover Letter is Key:Keep your cover letter short and focused! Explain why you're interested in the compliance-risk area specifically for this temporary position at Taylor Root. Mention what you hope to learn and achieve, showing your enthusiasm and motivation to contribute positively during your time there.
How to prepare for a job interview at Taylor Root
✨Know Your Compliance Basics
Make sure you're clued up on the key compliance and risk regulations pertinent to the industry you're applying to. Understanding frameworks like GDPR or AML will not only impress but also show that you’re ready to hit the ground running in your temporary role at Taylor Root.
✨Prepare for Scenarios
Expect scenario-based questions that test your problem-solving skills. They might ask how you'd handle a specific compliance issue. Think through real situations you’ve encountered in past roles or study hypothetical cases to showcase your analytical skills and practical judgement during the interview.
✨Highlight Your Adaptability
Since this is a temporary position, emphasise your ability to adapt quickly to new environments and team dynamics. Share examples of how you’ve successfully adjusted to changes in past roles and how this flexibility can benefit Taylor Root in the short term.
✨Gather Your Technical Tools
Familiarise yourself with commonly used compliance tools or software, as they might come up in the interview. If you've used tools for risk assessments or compliance tracking, mention those and be ready to discuss how they can streamline processes at Taylor Root.
