Head of Compliance & Risk
HybridLondon, England, United Kingdom
Job Summary
Drive the firm's FCA authorisation process forward, owning the application, regulatory business plan, and engagement with the FCA through to permissions. Hold the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) functions with full accountability under the Senior Managers & Certification Regime. Build and run the oversight framework for appointed representatives, managing onboarding, due diligence, and ongoing monitoring to ensure adherence to permissions and standards. Own and continuously improve policies, procedures, and the compliance monitoring programme while designing and delivering financial crime training across the business. Lead the risk management framework to identify, assess, and mitigate regulatory and operational risks. Serve as the primary point of contact with the FCA and trusted adviser to senior management on regulatory matters. This hands-on role shapes the compliance function for Infra One, a global platform supporting emerging VC funds across the UK, US, Europe, and Asia.
Required Qualifications
- Prior experience at a principal/host firm with direct responsibility for the oversight of appointed representatives
- Deep, current knowledge of the FCA Handbook, SM&CR, the AR regime (including the FCA's enhanced AR rules), and financial crime/AML obligations
- A track record of taking firms through FCA authorisation or significant variations of permission
- Experience in fund management (ideally private funds), fund administration, or financial services more broadly
- The judgement and gravitas to be the senior compliance voice in a growing, fast-moving business
Desired Qualifications
- Ideally, previous experience holding SMF16 and SMF17 (or readiness to be approved for both)
- A pragmatic, commercial mindset: you build proportionate frameworks that protect the firm without slowing it down
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