Interim Head of Compliance SMF16

Broadgate; Nottingham; On-site; GBP 80,000 - 100,000; Full time

Job summary

A leading compliance firm in the UK is seeking a Senior Compliance Leader with over ten years in compliance roles. The ideal candidate will have extensive knowledge of FCA regulations and a strong ability to manage risks in investment and asset management. Candidates should demonstrate proactive ownership of their responsibilities, adaptability to change, and in-depth understanding of data protection and consumer duty requirements. This role offers an opportunity to lead compliance efforts in a dynamic environment.

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 and related EU directives.

Skills

Compliance Oversight

Risk management leadership

Data protection knowledge

FCA regulatory knowledge

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