Interim Head of Compliance SMF16

Broadgate; Leeds; On-site; GBP 150,000 - 200,000; Full time

Job summary

A leading compliance consultancy in the UK is seeking a senior compliance leader with extensive experience in FCA regulations and a strong background in the financial services sector. The ideal candidate will possess a proactive mindset and the ability to adapt to changing requirements while ensuring compliance with industry standards. This role offers the opportunity to lead risk management efforts and shape compliance strategy.

Qualifications

• Minimum of five years’ experience in a senior compliance leadership role within a UK FCA-regulated firm.
• At least ten years’ experience in compliance within financial services sectors.
• In-depth knowledge of FCA regulations, particularly CASS and COBS.
• Comprehensive understanding of the FCA’s Consumer Duty requirements.

Job description

Experience and Knowledge

• Minimum of five years’ experience in a senior compliance leadership role within a UK FCA-regulated firm, holding SMF16 (Compliance Oversight) or equivalent responsibilities, with a strong grasp of the role’s scope, duties, and regulatory expectations
• At least ten years’ experience in compliance within the venture capital, private equity, lending, investment management, or broader financial services sectors
• In-depth knowledge of FCA regulations, particularly CASS and COBS, including the financial promotion rules relevant to non-mainstream funds, and a solid understanding of applicable EU directives such as AIFMD
• Comprehensive understanding of the FCA’s Consumer Duty requirements
• Good working knowledge of data protection frameworks, including the UK GDPR and related legislation
• Experience providing risk management leadership and oversight within the asset or investment management industry

Candidate Profile

• Combines a practical, solutions-oriented mindset with strong technical accuracy and attention to detail
• Proactive and self-motivated, with the ability to take full ownership of their area of responsibility
• Adaptable to changing requirements while maintaining professional integrity and the ability to assert well-reasoned positions when necessary