Head of Compliance | Board-Level Reg Strategy (SMF16)

FiscalNote CQ Roll Call; Greater London; Hybrid; GBP 170,000 - 200,000; Full time

Job summary

FiscalNote CQ Roll Call is seeking an experienced Head of Compliance to hold SMF 16 and manage a large department. The role is based in London with hybrid work arrangements and reports to the CEO.

The successful candidate will lead FCA interactions, oversee regulatory submissions, and guide senior management on evolving regulatory expectations. You will manage a team across UK and overseas offices, ensuring a robust compliance framework and timely reporting.

Qualifications

• Candidate must have held SMF 16 and served in a senior compliance role at a large corporate
• Experience reporting to a board or CEO and matrixed management of mid to large teams
• Background in Banking or Insurance & Pensions with capability to handle SMF 17 if needed

Responsibilities

• Advise the Board on regulatory risk and compliance activities and attend committees and Board meetings
• Lead a large compliance team across UK and overseas offices
• Manage FCA interactions, supervisory dialogues, and regulatory submissions
• Oversee regulatory reporting programme ensuring timely and accurate submissions
• Identify and escalate conduct and regulatory risks, providing clear recommendations to senior leadership
• Oversee the organisation's compliance framework and ensure policies are current and robust
• Provide regulatory guidance to senior management on obligations and emerging risks
• Embed robust frameworks with business units and respond to regulatory changes
• Promote a strong culture of compliance across the firm
• Represent the firm at trade associations and industry events

Skills

SMF16

Compliance leadership

Team management

Regulatory risk

Job description

FiscalNote CQ Roll Call is seeking an experienced Head of Compliance to hold SMF 16 and manage a large department. The role is based in London with hybrid work arrangements and reports to the CEO.

The successful candidate will lead FCA interactions, oversee regulatory submissions, and guide senior management on evolving regulatory expectations. You will manage a team across UK and overseas offices, ensuring a robust compliance framework and timely reporting.