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- Tasks: Lead compliance for a high-growth fintech, ensuring regulatory adherence while driving innovation.
- Company: Dynamic fintech company revolutionising digital investment and trading for millions globally.
- Benefits: Attractive salary, hybrid work model, and opportunities for professional growth.
- Why this job: Shape the future of compliance in a fast-paced, tech-driven environment.
- Qualifications: Extensive experience in compliance within regulated financial services, ideally fintech.
- Other info: Join a collaborative team focused on scaling and innovation.
A high-growth fintech business operating a large international digital investment and trading platform used by millions of retail customers globally. The organisation is technology-driven, product-led and continues to expand its regulated financial services infrastructure across multiple jurisdictions.
As the business continues to evolve its payments capabilities, including the launch of card products and broader electronic money services, the company is strengthening its governance framework to support regulatory engagement and future scale. The Irish entity forms a key part of the organisation’s European regulatory structure and is currently progressing regulatory licence applications as part of its payments expansion strategy.
This is a key senior leadership appointment, responsible for leading the UK compliance function and operating as the SMF16 (Compliance Oversight) under the FCA regime. The role will be instrumental in shaping and embedding a best-in-class compliance framework, ensuring the organisation meets its regulatory obligations while continuing to innovate and scale at pace.
You will work closely with the executive team, including legal, risk, product and technology leadership, to ensure compliance is effectively integrated into business decision-making, product development, and customer outcomes. This position requires a commercially minded compliance leader who can balance regulatory rigour with a pragmatic, growth-oriented approach.
Key Responsibilities- Act as SMF16, holding regulatory accountability for compliance oversight within the UK entity
- Serve as the primary point of contact for the FCA and other regulatory bodies
- Lead regulatory engagement, including audits, reviews, and supervisory interactions
- Ensure ongoing compliance with FCA requirements, including SMCR, Consumer Duty and financial promotions
- Design, implement and continuously evolve the firm’s compliance framework in line with regulatory expectations and business growth
- Develop policies, procedures and controls aligned with a scalable, multi-jurisdictional operating model
- Ensure effective monitoring, testing and reporting of compliance risks across the business
- Embed a strong culture of compliance across all functions
- Provide strategic compliance advice to senior leadership and the board
- Partner with product and technology teams to support compliant product development and innovation
- Advise on regulatory implications of new market entry, product launches and structural changes
- Balance regulatory requirements with commercial objectives to enable growth
- Work closely with Risk, Legal and Internal Audit to ensure alignment across the three lines of defence
- Support the development of governance structures appropriate for a scaling, regulated fintech
- Oversee compliance reporting to the board and relevant committees
- Ensure robust management information and reporting frameworks
- Oversee financial crime compliance, including AML, KYC, sanctions and transaction monitoring frameworks
- Ensure effective controls are in place to mitigate financial crime risks
- Lead conduct risk initiatives, ensuring strong customer outcomes and alignment with Consumer Duty
- Lead, develop and scale the compliance team in line with business growth
- Build capability across compliance monitoring, advisory and financial crime functions
- Foster a high-performance culture within the compliance function
This role requires a highly credible compliance leader with deep experience operating within regulated financial services environments, ideally within fintech, trading platforms or digital banking. You will be comfortable operating at executive level, influencing senior stakeholders, and engaging directly with regulators.
Essential Experience- Proven experience operating as SMF16 (or equivalent senior compliance role) within an FCA-regulated firm
- Deep knowledge of UK financial services regulation, including FCA Handbook, SMCR and Consumer Duty
- Strong experience within fintech, trading platforms, payments or digital financial services
- Track record of building and scaling compliance frameworks in high-growth environments
- Experience managing regulatory relationships and leading regulatory interactions
- Experience within high-growth or scaling fintech environments
- Exposure to multi-jurisdictional regulatory frameworks (EU or global markets)
- Background in businesses combining technology, product and financial services
- Experience working in fast-paced, product-led organisations
- Commercially minded with the ability to enable growth, not just control risk
- Strong stakeholder management and influencing skills at executive and board level
- Pragmatic and solutions-oriented approach to compliance challenges
- Comfortable operating in a fast-moving, evolving environment
- High levels of integrity, credibility and resilience
Head of Compliance in City of London employer: The Digital Recruitment Company
Contact Detail:
The Digital Recruitment Company 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! Get out there and connect with people in the fintech space. Attend industry events, webinars, or even local meetups. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Show off your expertise! When you get the chance to chat with potential employers, make sure to highlight your experience with compliance frameworks and regulatory engagement. Tailor your conversations to showcase how you can help them scale while staying compliant.
✨Tip Number 3
Don’t just apply anywhere; apply through our website! We’re all about finding the right fit, and applying directly shows your enthusiasm for the role. Plus, it gives us a better chance to see your application in the right light.
✨Tip Number 4
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance strategies. Be ready to discuss how you’ve successfully navigated compliance challenges in the past. Confidence is key, so practice makes perfect!
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 with FCA regulations and compliance frameworks, as well as any leadership roles you've held in fintech or regulated environments.
Craft a Compelling Cover Letter: Your cover letter should tell us why you're the perfect fit for this role. Share specific examples of how you've successfully navigated compliance challenges and contributed to business growth in previous positions.
Showcase Your Leadership Skills: As this is a senior role, we want to see your leadership style. Include details about how you've built and scaled compliance teams, and how you've influenced senior stakeholders in your past roles.
Apply Through Our Website: We encourage you to apply directly through our website. This ensures your application gets to the right people quickly and allows us to keep track of all applicants efficiently.
How to prepare for a job interview at The Digital Recruitment Company
✨Know Your Regulations Inside Out
As a candidate for the Head of Compliance role, it's crucial to have a deep understanding of UK financial services regulations, including the FCA Handbook and SMCR. Brush up on these areas and be ready to discuss how you've navigated regulatory challenges in your previous roles.
✨Showcase Your Leadership Skills
This position requires strong leadership capabilities. Prepare examples that demonstrate how you've built and scaled compliance teams in high-growth environments. Highlight your experience in fostering a high-performance culture and how you’ve influenced senior stakeholders.
✨Balance Compliance with Business Growth
The company is looking for someone who can balance regulatory rigour with a growth-oriented approach. Be prepared to discuss how you've successfully integrated compliance into business decision-making and product development while still driving innovation.
✨Engage with Real-World Scenarios
During the interview, expect to engage in discussions about real-world compliance scenarios. Think about past experiences where you managed regulatory relationships or led audits, and be ready to share how you handled those situations effectively.