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Head of Compliance

Capital.com· Compliance UK
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Hybrid (London)Full-timePosted 2mo ago

About the role

Senior compliance leadership role overseeing UK compliance and financial crime frameworks for Capital.com, combining independent judgement with commercially pragmatic advice. Dual function as Head of Compliance (SMF16) and Money Laundering Reporting Officer (SMF17) with direct access to the UK Board and primary FCA/law enforcement liaison.

Responsibilities

  • Lead and continuously enhance the UK Compliance Framework, including policies, procedures, governance and controls relating to Consumer Duty, conduct risk, market abuse, transaction reporting, conflicts of interest, personal account dealing, financial promotions, product governance and client assets.
  • Lead the Compliance team's handling of customer complaints and set the firm's complaints-handling policy.
  • Serve as a member of the UK Executive Committee, contributing to strategic decision making while embedding regulatory considerations and good customer outcomes.
  • Prepare and present regular Compliance and Consumer Duty reports to the UK Board, Executive Committee and governance committees.
  • Identify owners for regulatory returns and ensure timely submission.
  • Act as the firm’s primary FCA contact, coordinating notifications and responses to regulatory inquiries.
  • Run horizon scanning for regulatory change and translate into firm policy.
  • Provide strategic regulatory advice and challenge on new products, business initiatives, outsourcing, acquisitions and regulatory change.
  • Provide second line oversight of Consumer Duty and Operational Resilience frameworks.
  • Develop the risk-based Compliance Monitoring Programme and oversee its execution with remediation.
  • Design and deliver regulatory training.
  • Maintain breach register and report significant breaches to the FCA.
  • Lead investigations into regulatory breaches, compliance incidents and financial crime matters.
  • Maintain Conflicts of Interest Register and lead conflict identification.
  • Oversee systems to detect/prevent market abuse and ensure STOR disclosures to FCA.
  • Oversee daily EMIR and MiFIR reporting, including MDP monitoring and FCA notifications; liaise with CASS Office regarding breaches.
  • Lead, develop and mentor UK Compliance team and manage resourcing and development.
  • Collaborate with Group Compliance, Group Financial Crime, Group Assurance, Risk, Legal, Internal Audit and stakeholders while maintaining UK framework oversight.

Qualifications

  • Current or recent approval as SMF16 and/or SMF17 (or equivalent senior manager function) at an FCA-regulated firm.
  • Significant experience leading a Compliance function within an FCA regulated investment firm (retail investment services, CFDs, spread betting, brokerage or trading environment). Fintech/payments/EMI experience advantageous.
  • Deep knowledge of UK regulatory framework (FSMA, FCA Handbook, SMCR, Consumer Duty, UK MAR, MiFIR, EMIR, Money Laundering Regulations 2017, POCA, Terrorism Act, UK sanctions regime, FCA guidance including SYSC 6.1.1R and Financial Crime Guide).
  • Proven track record in SAR submissions to NCA and managing sanctions/financial crime programmes.
  • Experience designing and enhancing Compliance and Financial Crime Frameworks, including risk-based Monitoring Programmes and Board reporting.
  • Strong understanding of Consumer Duty, retail conduct, product governance, market conduct, transaction reporting, CASS and Operational Resilience.
  • Leadership experience building high-performing teams and succession planning.
  • Excellent written/verbal communication and stakeholder management skills.

Skills

Required:SMF16 and SMF17 experienceRegulatory reportingFCA liaison

Benefits

  • Competitive Salary
  • Work-Life Harmony (#LI-Hybrid)
  • Generous Time Off
  • Employee Referral Program
  • Comprehensive Health & Pension Benefits
  • Workation 30 extra days remote work
  • Volunteer Days (2 additional paid days per year)
Last updated Oct 21, 2026. Interested? Apply on the company site.

About Capital.com

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