MW Recruitment Limited
Head of Compliance - SMF16/17
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The Role
You will have overall responsibility for Compliance and Financial Crime and, subject to FCA approval, hold the SMF16 and SMF17 functions.
Responsibilities
- Owning and continuing to develop the firm's compliance framework as the business scales.
- Providing practical regulatory advice to the Board, senior management, and wider business.
- Acting as the principal point of contact with the FCA and developing a strong and credible relationship with the regulator.
- Leading the firm's approach to financial crime, AML, KYC, sanctions, and associated controls.
- Ensuring regulatory developments are understood and translated into appropriate action across the business.
- Providing oversight and challenge around new products, propositions, and strategic initiatives.
- Ensuring Consumer Duty remains embedded within the business as it grows.
- Developing monitoring, reporting, and governance appropriate to a growing regulated business.
- Working closely with Product, Technology, Operations, and senior management rather than operating as a standalone control function.
- Supporting the business in using technology and AI effectively within Compliance, both to improve the control environment and to make the function more efficient and scalable.
- Providing clear and proportionate reporting to the Board and relevant committees.
- Helping build the Compliance function and capability as the requirements of the business develop.
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The Person
We are looking for someone with strong FCA regulatory experience gained within fintech or a similarly progressive financial services environment. Experience within an investment, wealth, or financial platform business would be particularly relevant, ideally involving a consumer-facing proposition.
You may already hold SMF16/17 responsibilities and have an established relationship and credibility with the FCA. Equally, the company is prepared to consider someone for whom this represents the natural next step, provided they have the depth of regulatory experience and judgement to satisfy the requirements of the role.
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Of equal importance will be attitude and cultural fit.
The Opportunity
This is an opportunity to take a senior role within a business that is still relatively early in its development but has the funding, management experience, and ambition to grow significantly.
The successful person will have considerable exposure to the founders, Board, and senior management and the opportunity to shape the regulatory framework rather than simply operate within it.
For someone motivated by building something and having a genuine stake in its success, the role offers considerably more scope than a traditional Head of Compliance position.
There is also the potential for equity participation as part of the overall package.
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