Head of Regulatory Risk & Compliance (FTC)

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  • Salary:

    £120,000 - £140,000 + Bonus + Benefits

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  • Published:

    about 1 month ago

Our client is a well-known and highly respected business with a long standing and loyal client base. Due to a period of change and transition, the opportunity has arisen for an experienced compliance leader to join the firm on an initial fixed term contract for 18 months, in the role of Head of Regulatory Risk & Compliance. Working as part of the Executive team, you will be accountable for the development and implementation of regulatory strategy and policy, implementing the SMCR and leading the business through the FCA authorisation process.

Key Responsibilities

  • Provide strategic oversight and direction, defining and executing regulatory strategy and policy to meet the requirements of FCA handbook, leading the business through the FCA Authorisation process.
  • Promoting, negotiating and securing the best policy outcomes for the business, its customers and regular engagement with senior external stakeholders including FCA, industry groups, trade associations, consumer bodies and other stakeholders.
  • To design and develop a regulatory risk and compliance function, briefing and advising the Executive Management Team and other internal governance committees/groups.
  • Scan the regulatory horizon and provide insight and guidance on potential issues.
  • Ensure an awareness of regulatory risk management and compliance is embedded throughout the business functions and is an integral part of all decision making.
  • Foster a culture of rigorous compliance, constructively challenging and contributing to the business planning process developing relevant strategies and driving the formulation of compliance strategy, budgets, policies and procedures.
  • Introduce, manage and maintain the business’s SMCR approach
  • Support the resolution of complaints include liaising with the Financial Ombudsman Service where required.
  • Engage with industry bodies and peers within the industry to aid a broader understanding of key issues and support self-development.


Required skills and experience

  • Strong knowledge and strategic understanding of Regulatory Policy, Risk Management and compliance Monitoring, across the UK regulatory landscape.
  • Significant experience in a senior regulatory risk & compliance role within an FCA environment and dealing with the FCA, including having led a business through the FCA authorisation process and / or have led a business in their response to a S166 notice.
  • Proven leadership experience of a regulatory function or team, engaging others to deliver and delegating effectively to meet the business goals and significant experience of developing and maturing a regulatory support and advisory function.