Market Talent Ltd
Compliance Oversight SMF16
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Head of Compliance
The Head of Compliance will lead the compliance function and hold the SMF16 Compliance Oversight responsibility. Reporting directly to the Group Chief Executive and Managing Director, the postholder will provide independent advice and constructive challenge to the Board and senior management. The role will oversee the compliance framework, monitor the effectiveness of policies and controls, and manage the organisation’s engagement with the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) on compliance matters. The postholder will also manage an Ireland based compliance colleague and oversee their work.
Key Responsibilities
Regulatory Oversight and Advice
- Provide clear, practical regulatory advice to the Board, its committees and senior management.
- Maintain current knowledge of relevant FCA and PRA requirements, assess regulatory developments and advise on their impact.
- Identify, assess and report compliance risks, recommending actions to address gaps or emerging issues.
- Act as a principal contact for the FCA and PRA on compliance matters, coordinating regulatory enquiries, meetings and responses.
Governance, Policies and Controls
- Assess the adequacy and effectiveness of the organisation’s compliance systems, procedures and controls.
- Maintain and develop the compliance framework, governance directory and relevant policies.
- Oversee compliance monitoring, document findings and track agreed actions through to completion.
- Support the maintenance of Senior Managers and Certification Regime documentation, including Statements of Responsibilities and the Management Responsibilities Map where applicable.
- Prepare reports for the Board and its committees covering compliance risks, regulatory developments, monitoring findings and remedial actions.
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Regulatory Submissions and Assurance
- Coordinate regulatory returns, questionnaires, notifications and applications for approval within the compliance function’s remit.
- Plan and conduct compliance reviews and investigations as required.
- Support internal audits and oversee external specialists carrying out compliance related reviews.
- Coordinate responses to audit and regulatory findings and monitor the delivery of agreed improvements.
Team Management and Ireland Oversight
- Line manage the Ireland based compliance colleague, setting priorities, reviewing work and supporting their development.
- Ensure relevant matters arising from the Irish operation are escalated and reported through appropriate governance channels.
- Work with the colleague and local advisers to understand developments that may affect the wider organisation.
Communications and Training
- Review and approve promotional material in line with the organisation’s approval procedures and applicable regulatory requirements.
- Develop or source compliance training for employees and senior managers.
- Promote a culture in which colleagues understand their responsibilities and raise compliance concerns promptly.
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Person Specification
Essential
- Significant senior compliance experience within a PRA and FCA regulated organisation.
- Strong knowledge of the UK regulatory framework and the Senior Managers and Certification Regime.
- Experience advising Boards and senior management, including providing independent challenge.
- Experience delivering compliance monitoring, governance reporting and regulatory engagement.
- Ability to manage a colleague or small team across locations.
- Strong judgement, communication skills and the ability to translate regulatory requirements into practical actions.
Desirable
- Experience in insurance, health plans or a related regulated sector.
- Familiarity with applicable prudential requirements, including Solvency II.
- Experience overseeing compliance activity across UK and Irish operations.
- Knowledge of financial promotions, data protection and charity governance.
Working Arrangements
The role follows a hybrid pattern of three days per week in the office and two days working from home, with additional remote working flexibility subject to business needs.
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