Chief Compliance Officer, UK
Core
Lead the UK compliance programme, provide independent challenge as the second line of defence, and serve as a primary contact for the FCA and other authorities.
Role type
Chief Compliance Officer (SMF16)
Builds
UK compliance programme and regulatory framework
Domain
Financial Services / UK Regulation (FCA)
Required skills
FCA regulatory knowledge, Consumer Duty oversight, AML/financial crime management, risk assessment, regulatory reporting, leadership, AI knowledge
Preferred skills
Experience in international team environments, managing large projects
Technologies
AI tools
Responsibilities
Oversee and maintain the firm's compliance framework in accordance with FCA rules and applicable legislation. Monitor regulatory developments and assess their impact on the business. Develop and deliver the annual Compliance Monitoring Plan and ensure timely remediation of identified issues. Provide practical regulatory advice to senior management on investments and crypto products and business initiatives and associated regulatory obligations. Act as a primary contact for the FCA and other relevant regulatory bodies. Own Consumer Duty oversight. Oversee financial crime and AML frameworks with the MLRO. Identify and assess risks with the 1st line of defence. Review financial promotions, website content and marketing communications to ensure compliance with FCA requirements. Chair Risk & Compliance Committee. Provide training, guidance and independent investigation of compliance matters to support and lead UK Risk & Compliance team members. Set and promote the firm's core values, risk culture and risk appetite at Board level.
Seniority
Executive (C-Level)