Head of Regulatory Compliance

3 days ago

London Area, United Kingdom Alexander Barnes Full time

Alexander Barnes has partnered with an innovative lending FinTech that is recognised for providing efficient and flexible credit solutions to businesses and consumers.


As a growing organisation, they are looking to expand their internal compliance and risk management resources and are searching for a Head of Regulatory Compliance.


This individual will play a key role by developing and enhancing a robust compliance framework that prioritises ethical lending practices and safeguards consumer interests. They will lead efforts to navigate the regulatory landscape, staying ahead of evolving regulations and ensuring the company operates within legal and regulatory boundaries across multiple jurisdictions.


Responsibilities:


  • Partner with the Global Head of Compliance to design and enhance the Compliance Monitoring and Testing Programme, addressing regulatory risks across the UK, EU, and US.
  • Identify and mitigate regulatory risks, ensuring compliance with Consumer Duty principles and fostering positive customer outcomes.
  • Develop, refine, and scale compliance policies, frameworks, and processes to meet multi-jurisdictional regulatory requirements.
  • Conduct thematic reviews, escalate findings, and collaborate with teams to address risks and implement corrective actions.
  • Deliver compliance training to staff and ensure regulatory documentation is updated in line with industry developments.
  • Manage regulatory reporting processes, ensuring accurate and timely submissions to the FCA and other relevant authorities.
  • Prepare detailed compliance reports for leadership, clearly communicating risks, findings, and resolutions.


Experience Needed:


  • A minimum of 7 years experience in a regulatory compliance role, preferably within financial services, payment institutions, or EMIs.
  • Strong knowledge of consumer finance regulations, including the FCA Handbook, safeguarding rules, and JMLSG guidelines, with a focus on Consumer Duty.
  • Proven ability to develop and manage compliance frameworks while navigating complex regulatory landscapes across multiple jurisdictions.
  • Exceptional analytical and problem-solving skills, including conducting gap analyses and proactively addressing compliance risks.
  • Excellent communication and interpersonal skills, capable of collaborating effectively with diverse stakeholders and influencing decisions.
  • Highly organised and detail-oriented, committed to ethical practices and continuous improvement.

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