Interim Head of Compliance SMF16

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

Job summary

A leading compliance firm in Southampton is seeking an experienced individual for a senior compliance leadership role. The candidate must have a strong background in FCA regulations and substantial experience in the financial services sector. Responsibilities involve compliance oversight and providing risk management leadership. The ideal candidate is proactive, solutions-oriented, and detail-focused.

Qualifications

• Minimum of five years’ experience in a senior compliance leadership role within a UK FCA-regulated firm.
• In-depth knowledge of FCA regulations and EU directives such as AIFMD.
• Good working knowledge of data protection frameworks including the UK GDPR.

Skills

Compliance oversight

Risk management

Knowledge of FCA regulations

Attention to detail

Proactive mindset

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