Broadgate
Interim Chief Compliance Officer
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Chief Compliance Officer (SMF16) | Wealth & Investment Platform
Reporting to: Chief Risk Officer | Function: Risk & Compliance (Regional Senior Leadership Team)
The role
We're partnering with our client to appoint a Chief Compliance Officer (SMF16 – Compliance Oversight) for its UK entity. This is an FCA-approved Senior Manager Function with independent responsibility for the adequacy and effectiveness of the firm's compliance governance, systems and controls, reporting directly and without restriction to the UK Board and Board Risk & Compliance Committee.
Sitting within the independent second line and reporting to the Chief Risk Officer, you'll be the firm's primary compliance contact with the FCA — leading supervisory engagement, embedding the global risk and compliance framework across the region, and ensuring the Board receives clear, candid insight into regulatory risk. You'll be involved in all material decisions affecting compliance risk, from new product and client transitions through to platform transformation, outsourcing and operational change.
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Key responsibilities
- Own the design and effectiveness of the UK regulatory compliance framework, ensuring it meets FCA requirements and local regulatory expectations across the end-to-end delivery model.
- Provide independent reporting and escalation to the UK Board and Board Risk & Compliance Committee on all regulatory compliance risks, breaches and areas of concern, delivering high-quality MI within a "no surprises" culture.
- Act as the firm's primary point of contact with the FCA, leading transparent, proactive supervisory engagement and overseeing all regulatory responses and communications.
- Ensure compliance with core regulatory obligations including SYSC, COCON, SM&CR, Operational Resilience, Consumer Duty, CASS (where applicable) and relevant prudential requirements.
- Oversee the compliance monitoring programme, the regional risk and control framework, and the effective implementation of global policies and standards, ensuring issues are remediated on time.
- Provide compliance oversight into deal teams, strategic initiatives, technology change and operational transformation through risk assessment and review.
- Oversee regulatory breach assessments, investigations, remediation and reporting, and conduct second-line assurance over first-line regulatory processes.
- Lead the regional compliance function, promoting a strong culture of risk awareness, regulatory adherence and ethical conduct.
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What we're looking for
- Deep, demonstrable knowledge of UK financial services regulation and regulatory frameworks.
- Extensive senior-level experience within a regulated financial services environment, with a strong grasp of risk management, compliance frameworks, control design and monitoring.
- Proven experience interacting with the FCA and attending Board or Board-level risk committees.
- Strong people leadership, excellent written and verbal communication, and the ability to challenge senior leaders constructively.
- Ideally currently or previously approved as SMF16 (or equivalent).
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