Harmonic Finance™ | Certified B Corp
Head of UK Compliance & MLRO | Series A Fintech | London
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Head of UK Compliance & MLRO | Series A Fintech | London
The Business
Harmonic are excited to be partnering with one of Europe's fastest-growing fintechs as it launches into the UK market. In just two years the business has gone from a standing start to more than $1bn in assets on its platform, and has recently closed a substantial Series A led by a top-tier Venture Capital Fund with support from Founders and Senior Operators behind several of Europe's best-known fintech unicorns.
With that firepower behind it and real momentum in the market, the company is now building out its UK presence, and this role sits right at the heart of that. This is a rare chance to be the first compliance hire on the ground and to shape how a business with genuine traction, world-class backers and career-defining growth establishes itself in one of its most important markets.
The Role
As Head of UK Compliance & MLRO, you will build and lead the compliance function for the company's newly created UK entity from the ground up. This is an investment firm compliance role at its core: the business is seeking FCA authorisation as an investment firm under MiFID, and you will lead that application end-to-end before owning the ongoing framework that follows.
Reporting into the Group Head of Compliance, and reporting on compliance matters directly to the board of the UK entity, you will serve as UK MLRO and be the firm's primary point of contact with UK regulators. This is a genuinely hands-on, build-from-scratch mandate with real autonomy and senior exposure, suited to someone who has worked inside an FCA-regulated investment firm and knows MiFID obligations from the inside.
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Key Responsibilities
- Lead the UK licensing initiative, including the FCA authorisation application as an investment firm under MiFID, and act as the primary point of contact with the FCA.
- Build the UK entity's compliance infrastructure from scratch, including comprehensive policies, procedures, systems and controls.
- Serve as MLRO and AML/CFT Compliance Officer for the UK entity, owning the UK AML/CFT programme end-to-end.
- Report on compliance matters to the board of the UK entity and ensure the timely submission of all mandatory regulatory reporting.
- Provide independent oversight of the UK compliance framework, ensuring requirements are robust and effectively implemented.
- Provide compliance advice on market expansion, new product development and operational change.
- Manage compliance requirements from counterparties such as banks, asset managers and PSPs, acting as the primary compliance contact for partner queries and audits.
- Stay current on UK and FCA regulatory developments, assess their impact on the business, and expand policies and procedures as needed.
Essential Experience
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- 5 to 12 years of compliance experience in financial services.
- Direct, hands-on compliance experience within an FCA-regulated investment firm, broker-dealer, asset manager or wealth manager.
- Strong working knowledge of MiFID Org Reg, COBS, SYSC, SMCR and the FCA Handbook as applied to investment firms.
- Experience leading or co-leading an FCA investment firm licence application.
- Proven experience as an MLRO or in a senior AML role at an FCA-regulated entity, including ownership of AML/KYC processes, transaction monitoring and SAR reporting.
- Excellent written communication, with the ability to draft regulatory submissions and board reports.
- Comfortable building from scratch in a fast-paced, early-stage environment.
Desirable Experience
- Prior experience at a start-up or high-growth fintech.
- Law degree or a professional compliance certification (ICA, ACAMS or CAMS).
Salary:
£100,000–£130,000 + stock options (negotiable depending on experience)
Location:
London, hybrid working
Start Date:
Flexible, considering notice periods
At Harmonic, we are dedicated to fostering an inclusive and equitable workplace. We actively welcome applications from individuals of all backgrounds and assure you that every candidate will be thoughtfully considered for the roles we represent, without regard to race, religion, gender expression, disability, or sexual orientation.
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