Compliance Lead

Compliance & Operations Lead - FCA Regulations

Contract Until 31/03/2027

Paddington (2 days a week in office)

We are looking for a Compliance and Operations Lead to join our client on a contract basis. You will be responsible for ensuring that the client operates in compliance with FCA regulatory requirements, including governance of the Appointed Representative (AR) model, providing strategic regulatory guidance to senior leadership.

Your Responsibilities:

• Lead the establishment and implementation of FCA-regulated operations within VSOL UK.
• Support FCA authorisation activities, regulatory permissions and post-authorisation obligations.
• Provide expert regulatory guidance and challenge to business leaders and operational teams.
• Act as the primary point of contact for the FCA and other relevant regulatory bodies
• Develop and deliver regulatory, compliance and conduct risk reporting for Executive Committees, Boards and client governance forums
• Lead the implementation and continuous improvement of the Consumer Duty framework
• Identify areas where customer outcomes may be at risk and implement appropriate remediation and controls
• Maintain the FCA regulatory risk profile and ensure regulatory risks are appropriately assessed, managed and escalated
• Ensure effective governance of the Appointed Representative model and associated FCA obligations
• Ensure regulatory compliance is positioned as a strategic enabler and competitive differentiator

Who we're looking for:

• Proven experience operating within FCA-regulated environments
• Strong knowledge of Consumer Duty, CONC, SM&CR, vulnerable customer requirements and FCA governance expectations
• Demonstrable experience engaging directly with FCA supervisors and regulatory bodies
• Operational resilience and third-party risk management experience
• Professional Compliance, Risk or Governance qualification preferred

Interested?

Apply with a copy of your latest CV and we'll be in touch!