Head of Compliance SMF 16

3 weeks ago

London, United Kingdom Meraki Talent Ltd Full time

Meraki Talent are working with a growing investment platform to help them identify a Head of Compliance SMF 16/17 who will play a crucial role in aligning their compliance strategy with their ambitious growth objectives.


In this role, you will be responsible for ensuring that their operations not only meet FCA regulatory requirements but also support the commercial strategies that drive the business forward. This is an opportunity to join a high-growth company at a pivotal moment, working closely with the co-founders and leadership team to shape the future of the platform.


Key Responsibilities


  • Regulatory Strategy: As the designated SMF16/17, you will oversee our regulatory compliance. Your role is to ensure that our platform operates within FCA guidelines while enabling commercial agility.
  • Collaboration with Leadership: Work directly with our co-founders and leadership team to integrate regulatory considerations into our business strategy. Your expertise will help guide decisions that impact the company’s growth and ensure we remain compliant in a rapidly changing environment.
  • Commercial Alignment: Develop strategies that align compliance with our commercial objectives. You will play a key role in ensuring that our platform’s operations are both scalable and profitable, with compliance serving as a foundation for growth.
  • CASS and Custody Oversight: Lead our CASS operations, ensuring the highest standards of client asset protection. You will ensure that oversight of our appointed custody services is compliant and aligned with best practices, safeguarding our reputation and client trust.
  • Legal and Regulatory Guidance: Provide expert advice on regulatory issues, contract negotiations, and risk management. You will support the business in navigating complex legal landscapes and resolving potential disputes effectively.
  • Risk Management: Proactively identify and mitigate legal and regulatory risks. Your role will involve embedding robust risk management practices across the organization, ensuring that our growth is sustainable and secure.


Key Requirements


  • Experience: Extensive experience in a senior management role within an investment platform or financial services business, with a strong focus on CASS and custody services.
  • Regulatory Knowledge: Deep understanding of FCA regulations, including SMF16/17 responsibilities, and comprehensive knowledge of CASS rules.
  • Legal Expertise: Strong legal experience in regulatory compliance, contract negotiations, and risk management within the financial services sector.
  • Commercial Insight: Demonstrated ability to align compliance strategies with commercial goals, ensuring that regulatory requirements support business growth.
  • Leadership Skills: Proven ability to lead and develop high-performing teams, with a focus on regulatory excellence and alignment with business objectives.


Please send your CV for more details

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