Interim Senior Compliance Manager - SMF16/17

Interim Senior Compliance Manager - Initial 12-month FTC with temp to perm option.

Location: London/hybrid (3 days in office)

About the Role

We are seeking an experienced Interim Senior Compliance Manager to lead and execute the Compliance and Risk function within a growing financial technology business serving global financial institutions.

This is a senior role operating as a key second line of defence, partnering closely with Legal, Finance, Information Security, People and senior leadership teams. The successful candidate will adopt a risk-based approach to compliance, ensuring robust governance, regulatory compliance and effective risk management across the organisation.

The role offers the opportunity to work within a dynamic and innovative financial services technology environment with significant exposure to executive leadership, regulators and major institutional clients.

Key Responsibilities

Regulatory & Compliance Leadership

Hold Senior Management Functions (SMF16 & SMF17).

Manage regulatory relationships in a transparent and proactive manner.

Advise senior management on regulatory obligations, compliance risks and regulated activities.

Ensure regulatory filings and submissions are completed accurately and on time.

Support regulatory applications, approvals and information requests.

Governance, Risk & Reporting

Maintain and oversee the compliance monitoring programme.

Develop and maintain a robust risk and control framework, including risk registers and compliance policies.

Prepare compliance and risk reporting for executive and board-level stakeholders.

Conduct risk assessments and implement mitigating controls where required.

Manage and maintain regulatory registers, including conflicts of interest, gifts and hospitality, and breaches.

Compliance Operations

Provide day-to-day compliance advice across business and support functions.

Monitor compliance incidents, investigations, complaints, whistleblowing matters and data breaches.

Ensure Statements of Responsibilities, Fitness & Propriety Assessments and relevant certifications are maintained.

Review and enhance compliance processes to improve efficiency, automation and control effectiveness.

Regulatory Change & Financial Crime

Monitor and assess regulatory developments across the UK, EU and US.

Support the implementation of regulatory and legislative changes.

Review compliance policies and procedures to ensure ongoing effectiveness and alignment with applicable regulations.

Conduct financial crime and third-party risk assessments and support associated control frameworks.

Stakeholder Management

Work closely with Legal, Finance, People, Marketing and Information Security teams.

Support client due diligence processes, audits and compliance reviews.

Contribute to staff compliance training and awareness programmes.

Review external communications and marketing materials from a compliance perspective.

Skills & Experience

The successful candidate will possess:

8+ years' compliance and risk experience within an FCA-regulated financial services environment.

Strong practical knowledge of the FCA Handbook and regulatory expectations.

Experience holding or supporting Senior Management Functions under SMCR.

Understanding of UK, EU and US regulatory developments.

Strong knowledge of financial services products, technology and operational risk frameworks.

Excellent analytical and problem-solving skills.

Strong communication and stakeholder management abilities.

Ability to operate independently while influencing senior stakeholders.

Experience managing multiple priorities in a fast-paced environment.

Proficiency in Microsoft Word, Excel and PowerPoint.

Preferred

Degree in Finance, Business, Law or a related discipline.

Professional compliance qualification.

Experience within capital markets, fintech, market infrastructure, securities finance or related sectors.