Head of Compliance

Position:
Head of Compliance & MLRO

Company:
Capital.com

Location:
United Kingdom, London

Employment type:
Hybrid

Short Summary:
Capital.com is seeking an experienced compliance leader to serve as Head of Compliance (SMF16) and Money Laundering Reporting Officer (SMF17) for its UK entity. This senior role involves overseeing the UK compliance and financial crime frameworks, advising the UK Board, and ensuring regulatory compliance.

Responsibilities:
- Lead and enhance the UK Compliance Framework, including policies and procedures.
- Handle customer complaints and set the complaints-handling policy.
- Prepare and present Compliance and Consumer Duty reports to the UK Board.
- Act as the primary contact with the FCA and coordinate regulatory notifications.
- Provide strategic regulatory advice on new products and business initiatives.
- Oversee the Compliance Monitoring Programme and ensure effective execution.
- Lead investigations into regulatory breaches and maintain the firm's breach register.
- Hold FCA approval as MLRO and report on financial crime risk.
- Oversee the implementation of the UK AML, CTF, and CPF Framework.
- Design and oversee the AML/CTF training programme for staff.

Requirement:
- Current or recent approval as SMF16 and/or SMF17 at an FCA-regulated firm.
- Significant experience leading a Compliance function within an FCA regulated investment firm.
- In-depth knowledge of the UK regulatory framework and financial crime regulations.
- Proven leadership and people management experience.
- Outstanding written, verbal, and stakeholder management skills.

Benefits:
- Competitive Salary
- Work-Life Harmony
- Generous Time Off
- Comprehensive Health & Pension Benefits
- Workation Wonderland: 30 extra days to work remotely
- Volunteer Days: Two additional paid days to support community causes