Taylor Root
Interim Senior Compliance Manager - SMF16/17
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Interim Senior Compliance Manager - Initial 12-month FTC with temp to perm option.
Location: London/hybrid (3 days in office)
About the Role
We are seeking an experienced Interim Senior Compliance Manager to lead and execute the Compliance and Risk function within a growing financial technology business serving global financial institutions.
This is a senior role operating as a key second line of defence, partnering closely with Legal, Finance, Information Security, People and senior leadership teams. The successful candidate will adopt a risk-based approach to compliance, ensuring robust governance, regulatory compliance and effective risk management across the organisation.
The role offers the opportunity to work within a dynamic and innovative financial services technology environment with significant exposure to executive leadership, regulators and major institutional clients.
Key Responsibilities
Regulatory & Compliance Leadership
- Hold Senior Management Functions (SMF16 & SMF17).
- Manage regulatory relationships in a transparent and proactive manner.
- Advise senior management on regulatory obligations, compliance risks and regulated activities.
- Ensure regulatory filings and submissions are completed accurately and on time.
- Support regulatory applications, approvals and information requests.
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Governance, Risk & Reporting
- Maintain and oversee the compliance monitoring programme.
- Develop and maintain a robust risk and control framework, including risk registers and compliance policies.
- Prepare compliance and risk reporting for executive and board-level stakeholders.
- Conduct risk assessments and implement mitigating controls where required.
- Manage and maintain regulatory registers, including conflicts of interest, gifts and hospitality, and breaches.
Compliance Operations
- Provide day-to-day compliance advice across business and support functions.
- Monitor compliance incidents, investigations, complaints, whistleblowing matters and data breaches.
- Ensure Statements of Responsibilities, Fitness & Propriety Assessments and relevant certifications are maintained.
- Review and enhance compliance processes to improve efficiency, automation and control effectiveness.
Regulatory Change & Financial Crime
- Monitor and assess regulatory developments across the UK, EU and US.
- Support the implementation of regulatory and legislative changes.
- Review compliance policies and procedures to ensure ongoing effectiveness and alignment with applicable regulations.
- Conduct financial crime and third-party risk assessments and support associated control frameworks.
Stakeholder Management
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- Work closely with Legal, Finance, People, Marketing and Information Security teams.
- Support client due diligence processes, audits and compliance reviews.
- Contribute to staff compliance training and awareness programmes.
- Review external communications and marketing materials from a compliance perspective.
Skills & Experience
The successful candidate will possess:
- 8+ years' compliance and risk experience within an FCA-regulated financial services environment.
- Strong practical knowledge of the FCA Handbook and regulatory expectations.
- Experience holding or supporting Senior Management Functions under SMCR.
- Understanding of UK, EU and US regulatory developments.
- Strong knowledge of financial services products, technology and operational risk frameworks.
- Excellent analytical and problem-solving skills.
- Strong communication and stakeholder management abilities.
- Ability to operate independently while influencing senior stakeholders.
- Experience managing multiple priorities in a fast-paced environment.
- Proficiency in Microsoft Word, Excel and PowerPoint.
Preferred
- Degree in Finance, Business, Law or a related discipline.
- Professional compliance qualification.
- Experience within capital markets, fintech, market infrastructure, securities finance or related sectors.
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