Interim Head of Compliance SMF16

2 weeks ago


Nottingham, United Kingdom Broadgate Full time £150 - £200

Experience and KnowledgePlease double check you have the right level of experience and qualifications by reading the full overview of this opportunity below.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 expectationsAt least ten years’ experience in compliance within the venture capital, private equity, lending, investment management, or broader financial services sectorsIn-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 AIFMDComprehensive understanding of the FCA’s Consumer Duty requirementsGood working knowledge of data protection frameworks, including the UK GDPR and related legislationExperience providing risk management leadership and oversight within the asset or investment management industryCandidate ProfileCombines a practical, solutions-oriented xpwpeyx mindset with strong technical accuracy and attention to detailProactive and self-motivated, with the ability to take full ownership of their area of responsibilityAdaptable to changing requirements while maintaining professional integrity and the ability to assert well-reasoned positions when necessary#J-18808-Ljbffr



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