Head of Compliance

Job Summary:

We are seeking an experienced Head of Compliance to lead our compliance function and ensure the organisation adheres to all regulatory obligations, particularly those set out by the Financial Conduct Authority (FCA). The ideal candidate will have extensive experience operating in regulated environments, with deep expertise in Claims Management Companies (CMCs), conduct risk, and operational compliance frameworks. This is a senior leadership role responsible for shaping our compliance strategy, ensuring robust governance, and fostering a proactive culture of regulatory integrity across the business.

Key Responsibilities:

Regulatory Compliance & Governance

• Lead the development, implementation, and oversight of the company’s compliance strategy, ensuring alignment with FCA regulations (including CMC-specific requirements).
• Maintain up-to-date knowledge of regulatory developments, emerging risks, and industry best practice, providing clear guidance to senior management and operational teams.
• Oversee regulatory reporting, notifications, and submissions to the FCA, ensuring accuracy and timeliness.

Claims Management Compliance

• Ensure full adherence to FCA CMC conduct rules, including marketing, client communication, claims handling, and fee regulations.
• Oversee end-to-end compliance for claims management activities, ensuring fair treatment of customers, clear disclosures, and robust record-keeping.
• Monitor claims processes to ensure accuracy, integrity, and compliance with statutory and regulatory obligations.

Risk Management & Monitoring

• Design and maintain an effective risk management framework, including compliance monitoring programmes, thematic reviews, and internal audits.
• Identify compliance risks and advise on mitigation strategies, ensuring alignment with business objectives.
• Lead investigations into regulatory breaches or complaints, managing root cause analysis and corrective action plans.

Policy & Framework Development

• Create, review, and maintain compliance policies, procedures, and control frameworks.
• Ensure operational teams have clear, practical guidance on regulatory obligations and internal standards.
• Oversee data protection compliance (including GDPR) and ensure appropriate controls around handling sensitive information.

Skills & Experience:

Essential

• Extensive experience in a senior compliance role within a regulated environment.
• Strong working knowledge of FCA Handbook, including CMCOB, SYSC, PRIN, and relevant conduct rules for claims management firms.
• Proven track record in leading compliance functions, building governance frameworks, and managing regulatory relationships.

Desirable

• Experience as an SMF16/17 (Compliance Oversight / MLRO) or working closely with SMF role holders.
• Knowledge of consumer protection regulation, financial promotions rules, and data protection requirements.
• Professional compliance qualifications (e.g., ICA, CISI) or legal background.

Personal Attributes

• High Integrity and Ethical Standards.
• Independent and Objective Judgement
• Strong Leadership and Influence
• Excellent Communication Skills
• Strategic and Commercial Awareness.
• Attention to Detail and Analytical Thinking
• Proactive and Solution-Oriented
• Resilience and Professional Confidence
• Organisational and Decision-Making Ability
• Collaborative and Relationship-Focused

Why Join Us?

• Competitive Salary and benefits package.
• Opportunity to work with a dynamic and fast-growing organisation.
• Collaborative work culture that values professional development.
• Exciting career growth opportunities within the compliance field.