- Lead, prepare, and manage the FCA authorisation/licence application, including drafting regulatory business plans, compliance frameworks, policies, and supporting documentation.
- Act as the principal point of contact for the FCA, including interactions during authorisation, supervisory visits, and ongoing monitoring.
- Ensure the firm meets all obligations under the FCA Handbook (e.g., SYSC, SM&CR, COBS, CONC, MLRs, DISP, ICOBS—adjust based on sector).
- Develop and maintain a comprehensive compliance monitoring plan.
- Create, update, and implement policies and procedures aligned with regulatory expectations.
- Oversee regulatory reporting, SM&CR responsibilities, complaints handling, conduct risk, and operational resilience obligations.
- Conduct internal compliance reviews and prepare management information for governance committees.
- Serve as SMF17 (MLRO) and SMF16 (Compliance Oversight).
- Oversee AML/CTF framework, including risk assessments, customer onboarding, transaction monitoring, and sanctions screening.
- Manage Suspicious Activity Reports (SARs) and act as the firm's main liaison with law enforcement and the NCA.
- Deliver financial crime training across the business.
- Ensure compliance with the Money Laundering Regulations, JMLSG Guidance, Proceeds of Crime Act, and Sanctions regimes.
- Maintain and develop the firm's risk management framework, including risk registers and control assessments.
- Identify emerging regulatory risks and propose mitigation strategies.
- Support operational risk, data protection, and governance functions as required.
- Promote a strong compliance culture across the organisation.
- Provide training and guidance to staff on conduct, compliance, and regulatory expectations.
- Support the Board and senior management with strategic planning from a regulatory perspective.
- Experience in fintech / payments / lending / wealth management
- Proven experience as Head of Compliance, MLRO, Deputy MLRO, or senior compliance manager in a regulated financial services firm.
- Demonstrated experience leading FCA authorisation/licensing applications for a financial services business ideally in the payments space – EMI License
- Strong understanding of FCA rules and the UK regulatory landscape.
- In-depth knowledge of financial crime regulations, AML/CTF frameworks, and the Money Laundering Regulations.
- Experience operating under the Senior Managers & Certification Regime (SM&CR).
- Excellent stakeholder-management skills, including interaction with regulators and executive leadership.
- Exceptional written skills for drafting policies, regulatory business plans, and FCA application documents.
- Mid-Senior level
- Contract
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Head of Compliance - England - CRS
Description
Get AI-powered advice on this job and more exclusive features. This range is provided by CRS. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Contract – 12 month contract depending on the assignment completion
My client is an innovative fintech with an award-winning lending solution distributed through brokers, direct to businesses & most recently through embedded finance with E-Commerce and Payment platforms.
We are now looking to recruit a Head of Compliance / MLRO to lead the firm's regulatory compliance framework, ensuring full adherence to FCA requirements under the UK regulatory regime. The role is responsible for designing, implementing, and maintaining an effective Compliance and Financial Crime programme, acting as the firm's primary contact with regulators. A key part of the role is to lead the FCA licence (authorisation) application process, ensuring a successful submission and ongoing regulatory approvals.
Key Responsibilities
Regulatory Governance & FCA Relationship
Compliance Framework & Oversight
Leadership & Culture
Skills & Experience required
Seniority level
Employment type
Job function
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Head of Compliance
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Head of Compliance
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Head of Compliance
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Head of Compliance
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Head of Compliance
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Head of Compliance
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