Head of Compliance & MLRO

Capital.com
London
Workplace: HybridFull timeFunction: Legal, Risk & ComplianceSkills: ["Independent challenge","Stakeholder management","Written and verbal communication","Leadership","Regulatory expertise"]

Lead the UK compliance and financial crime frameworks with FCA SMF16 Head of Compliance and SMF17 Money Laundering Reporting Officer responsibilities. Provide independent second-line oversight, manage SAR and sanctions programs, and design/strengthen Compliance and Financial Crime frameworks, monitoring, governance, and board reporting. Serve as the primary contact to the FCA and UK law enforcement, oversee investigations and remediation, and build a high-performing Compliance team with strong stakeholder and supervisory engagement.

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FursaFursa
Capital.com
Capital.com
6 days ago

Head of Compliance & MLRO

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Last checked: 4 hours agoStatus: Live

Job Summary

Lead the UK compliance and financial crime frameworks with FCA SMF16 Head of Compliance and SMF17 Money Laundering Reporting Officer responsibilities. Provide independent second-line oversight, manage SAR and sanctions programs, and design/strengthen Compliance and Financial Crime frameworks, monitoring, governance, and board reporting. Serve as the primary contact to the FCA and UK law enforcement, oversee investigations and remediation, and build a high-performing Compliance team with strong stakeholder and supervisory engagement.
Location: London
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Sr. Director level

Key Responsibilities

  • •Hold SMF16 Head of Compliance and SMF17 Money Laundering Reporting Officer responsibilities for the UK entity, ensuring effectiveness of compliance and financial crime frameworks.
  • •Provide independent second-line Compliance oversight, including Consumer Duty and Operational Resilience frameworks, and ensure ongoing monitoring and remediation of regulatory issues.
  • •Manage SAR decisioning and submissions to the NCA, oversee sanctions compliance aligned with OFSI, and maintain clear records and reporting of financial crime risks.
  • •Design, implement, and enhance Compliance Frameworks and Financial Crime Frameworks, including business-wide risk assessments and board-level compliance/MLRO reporting.
  • •Lead and develop the UK Compliance team, maintain constructive FCA engagement, and oversee investigations and regulatory breach handling with timely escalation and reporting as required.

Pay and Benefits

Perks:Health InsurancePensionPaid Leave

Key Requirements

  • •Current approval as SMF16 and/or SMF17 (or equivalent Senior Manager Function experience) at an FCA-regulated firm.
  • •Significant experience leading a Compliance function within an FCA-regulated investment firm, ideally covering retail investment services and trading products such as CFDs/spread betting/brokerage.
  • •In-depth knowledge of the UK regulatory framework and financial crime obligations, including FSMA, the FCA Handbook, SMCR, Consumer Duty, UK MAR, MiFIR, EMIR, and the Money Laundering Regulations 2017.
  • •Track record managing SAR submissions to the NCA and running sanctions and financial crime programmes.
  • •Proven people management experience building and developing a high-performing Compliance team, including board-level reporting and regulatory engagement with the FCA.
Experience:FintechPaymentsElectronic moneyCFDsBrokerageRetail investment services
Skills:Independent challengeStakeholder managementWritten and verbal communicationLeadershipRegulatory expertise
Certifications:CAMSICAACAMS

Company Brief

Capital.com
Operates an online trading platform offering CFDs, forex, commodities, indices and cryptocurrencies to retail investors and traders, combining market access with educational content, analytics, and AI-driven insights for informed trading decisions.
Industry: Trading Platforms
Company Size: Large (251 to 1,000 employees)
Growth: Scaleup
Headquarters: London, United Kingdom
Founded: 2016
WebsiteLinkedIn