Head of Compliance

We're looking for a candidate to fill this position in an exciting company.

• Work closely with Product, Engineering and other teams to prepare for and deliver key product and change initiatives, providing subject matter expertise both individually and through the Compliance team to guide the business
• Embed Treating Customers Fairly and broader regulatory understanding across the company
• Ensure a relationship of trust with the FCA and other regulators, with proactive, transparent and timely engagement
• Lead regulatory applications for new licences or changes to our arrangements
• Identify and advise on upcoming new regulation or regulatory changes
• Develop systems to monitor our regulatory risk, compliance with regulatory requirements and internal policies, taking a data-led approach
• Develop and maintain compliance policies, processes and training arrangements
• Scrutinise and test compliance programs, including quality assurance, analyse findings and work with other teams to develop our risk based approach, provide constructive feedback and be responsible for resolutions.
• Own the development and governance of the key risk indicators and key performance indicators for Compliance - including for reporting to the Board and executive risk committee
• Own and present the Compliance packs at the executive risk management committee and at the Board.

• You are highly skilled in Compliance, with extensive experience gained from working in a senior compliance role in an FCA-regulated financial institution. You most probably are currently working or previously worked as the head of compliance / deputy head of compliance in another financial institution
• You have a detailed understanding of the FCA handbook and ideally of MiFID and other EU regulation
• You ideally have experience of retail investment services
• You have deep technical expertise in several areas of compliance - for example, investor protection, SMCR, client assets, best execution and transaction reporting
• You ideally have experience from a technology-led financial institution and/or start-up / scale-up environments
• You prioritise a practical approach to compliance and are skilled at translating requirements into efficient processes and communicate and collaborate effectively with impacted teams
• You are resourceful and self-starting; you have appetite for picking up areas of which you have limited past experience, learning and where needed recruiting expertise
• You have strong management skills; you are able to build and manage a team of compliance professionals