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Head of Risk & Compliance, Capital Markets

MRG Professional Services
Remote / London (UK)
Up to £130K base salary, share options, annual bonus, 30+ days vacation, pension and medical
Closing date
24 May 2024

Job Details

One of the most exciting fintech firms in the global financial services industry is looking for a Head of Compliance in their flagship London office. They are looking for a highly experienced, commercially driven Compliance professional who can truly build out their compliance function, and foster a culture of compliance and good governance with the firm.

The firm has just been a huge success story and continues to go from strength to strength, so there Is huge opportunity for professional growth in this role. As the business grows it is important the compliance function scales up with the business and this role will evolve over time as well.

The successful candidate will act as SMF 16/17 for the firm and lead relationships with the FCA.

Your responsibilities

  • Develop the risk & compliance function and lead the company’s regulatory strategy Embed an effective risk management framework to support sustainable growth
  • Act as a strategic advisor to the Executive and Senior Management on all things compliance
  • Develop, manage and implement policies and procedures for regulatory compliance
  • Ensure new products are developed with a complete understanding of the regulatory implications
  • Ensure adherence to regulatory requirements and reporting obligations and advise the business across all regulatory and compliance matters
  • Monitor new legislation, guidance, consultations and cases that impact financial regulation
  • Promote a sustainable culture of risk awareness in the business

What they’re looking for?

  • Experience working in and deep understanding of  Capital Markets
  • Demonstrable experience within a regulatory environment including a sound understanding of the FCA’s Senior Managers and Certification Regime
  • Detailed up to date knowledge and understanding of financial regulations and challenges that impact and affect the capital markets industry
  • Experience of practical application of relevant financial regulatory frameworks including but not limited to the FCA Handbook (COBS and CASS), MIFID II, Financial Crime legislation and regulations for ICAAP/ICARA.
  • Demonstrable experience in building and overseeing an operational risk framework
  • Excellent verbal and written communication skills with the ability to confidently engage with and influence a variety of stakeholders at differing levels across the business

Please note that the role does not offer a work permit and only those with UK work rights can be considered.

What can they offer you?

  • Remote working - the role can be 100% home based though there will be the requirement to attend in person meetings at their London Headquarters
  • Base salary is up to 130,000GBP
  • Share options   
  • Unlimited holidays
  • Private Medical Insurance
  • Company pension


With a proven track record of success and a deep understanding of the complexities in the global financial landscape, we are dedicated to connecting top-tier professionals with prestigious organizations across the globe.

At MRG Professional Services we believe that the key to unlocking success lies in the perfect match between talent and opportunity. Our team of seasoned recruiters possesses an unrivalled expertise in identifying exceptional individuals and presenting them with tailor-made career opportunities that align with their aspirations.

Whether you are a dynamic professional seeking the next step in your career or an esteemed organization in search of top-tier talent, MRG is the bridge that brings aspirations and ambitions to life

Company info
United Kingdom

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