Senior Compliance Leader, SMF16 & UK Regulation

Applied Intuition Inc.; Greater London; Hybrid; GBP 90,000 - 110,000; Full time

Job summary

A prominent financial services firm in Greater London is seeking a Head of Compliance to ensure regulatory adherence while fostering a culture of integrity. You will design and oversee a robust compliance framework, act as a key liaison with regulatory bodies, and provide guidance to senior management. Ideal candidates will possess extensive knowledge of FCA regulations, strong leadership skills, and be qualified to at least CII Level 4. This role offers a competitive salary and benefits, along with a hybrid working environment.

Benefits

Hybrid working flexibility

Company pension

Private medical insurance

Enhanced parental leave

Qualifications

• Proven experience in a senior compliance role with financial advice.
• Proficiency in Senior Managers and Certification Regime (SMCR).
• Experience in Training & Competency supervision.

Responsibilities

• Ensure compliance with regulations and manage SMF16 function.
• Develop and implement compliance policies and procedures.
• Act as the liaison with regulatory bodies.

Skills

Familiarity with FCA regulations

Leadership and management skills

Analytical mindset

Strong communication skills

Experience with MIFIDPRU and UCITS firms

Education

CII Level 4 qualification

Job description

A prominent financial services firm in Greater London is seeking a Head of Compliance to ensure regulatory adherence while fostering a culture of integrity. You will design and oversee a robust compliance framework, act as a key liaison with regulatory bodies, and provide guidance to senior management. Ideal candidates will possess extensive knowledge of FCA regulations, strong leadership skills, and be qualified to at least CII Level 4. This role offers a competitive salary and benefits, along with a hybrid working environment.