Head of Compliance SMF16 in City of London

ETRA Talent is looking for an Head of Compliance SMF16 in City of London

Job description

Head of Compliance (SMF16) – Retail & Digital Markets

Location: London (Hybrid)

Company: Global Fintech | UK HQ

Employment Type: Full-time | Permanent

Salary: £180,000 per annum plus benefits


Overview:


A leading global fintech firm, headquartered in the UK and renowned for its innovation in retail and digital financial services, is seeking a Head of Compliance (SMF16) to lead its compliance strategy and framework. This is a senior leadership role, pivotal to maintaining regulatory integrity, fostering a strong compliance culture, and supporting sustainable business growth across regulated activities.


The successful candidate will serve as the FCA-approved SMF16 (Head of Compliance), overseeing all compliance and conduct risk functions, and acting as a key advisor to senior management, executive leadership, and relevant governance committees.


Core Responsibilities:


Leadership & Governance:

  • Lead the Compliance function, including oversight of regulatory compliance, financial crime, conduct risk, and data protection.
  • Act as Chair or member of governance committees, contributing meaningfully to strategic and operational decisions.
  • Deliver clear, actionable MI to executive stakeholders, identifying emerging risks and regulatory changes.
  • Drive functional efficiency, leveraging automation and technology to enhance compliance operations.


Regulatory Compliance Oversight:

  • Develop and maintain a proportionate and robust compliance framework aligned with business activity, FCA expectations, and best practice.
  • Ensure compliance with the FCA Conduct Rules, SYSC 6.1.23R, and all applicable MiFID obligations.
  • Oversee the firm’s regulatory permissions and ensure they are appropriately mapped to current and future operations.
  • Maintain responsibility for ensuring all personal data is processed in accordance with GDPR requirements.


Policies, Procedures & Advisory:

  • Develop and maintain up-to-date compliance and conduct policies, ensuring alignment with regulatory change and business evolution.
  • Provide guidance and training to staff engaging in regulated activity, with a focus on delivering good outcomes for retail customers.
  • Lead on the firm’s annual review of Terms & Conditions, customer documentation, and complaints handling process.


Monitoring & Reporting:

  • Design and lead the second-line compliance monitoring programme based on a risk-based Compliance Risk Assessment.
  • Conduct thematic reviews and horizon scanning to identify risks and provide strategic recommendations.
  • Produce regular, insightful reporting for Boards, Committees, and Regulators where required.


Operational & Risk Responsibilities:

  • Act as Operational Risk Coordinator for the department, managing RCSAs, OREs, and remediation tracking.
  • Collaborate with the Risk function to ensure accurate assessments of operational risk and outsourcing risks.
  • Participate in wider firm governance initiatives including ICAAP, ILAAP, RRP, and the development of the Risk Appetite Framework (RAF).


Key Requirements:

  • Previous FCA approved SMF16 experience is essential.
  • Extensive experience in regulatory compliance within financial services preferably within banking, retail finance, or digital platforms.
  • Deep understanding of FCA rules, MiFID, EMIR, PSD2, SYSC, and conduct frameworks.
  • Proven ability to build and maintain a comprehensive second-line control environment.
  • Strong leadership skills, with a track record of developing high-performing compliance teams.
  • Experience working with UK regulatory bodies and staying ahead of fast-moving regulatory developments.
  • Expertise in data protection and operational risk oversight.

Extra information

Status
Open
Education Level
Secondary School
Location
City of London
Type of Contract
Part-time jobs
Published at
06-07-2025
Profession type
Accountancy
Full UK/EU driving license preferred
No
Car Preferred
No
Must be eligible to work in the EU
No
Cover Letter Required
No
Languages
English

Accountancy jobs | Part-time jobs | Secondary School

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