Regulatory & Compliance (UK & EMEA) - Vice President

The role

This person will support regulatory, compliance, corporate governance, and risk management activities across UK and EMEA operations. They will help maintain the compliance framework and partner with business teams to ensure regulatory adherence.

What you will do

• Support the development and enhancement of the UK and EMEA Compliance Framework.
• Monitor regulatory developments and advise business stakeholders on UK, European, and Middle East requirements.
• Provide compliance guidance and reviews of financial promotions, distribution, conflicts of interest, and AML/CFT.
• Develop and undertake risk-based assessments, compliance monitoring and testing.
• Oversee and deliver compliance training and maintain training records.
• Support regulatory reporting and governance obligations, including FCA filings and board meetings.
• Maintain corporate governance records, regulatory registers, and support responses to regulatory enquiries.
• Assist with financial crime and employee compliance programmes.
• Improve compliance processes and controls using AI and other technology.
• Work with senior management, regulators and external stakeholders to mitigate risks.

Required qualifications

• 6-10 years of experience in compliance, regulatory affairs, risk management, audit, legal, operations, or compliance consulting within financial services.
• Strong understanding of FCA regulatory requirements including SMCR, Conduct of Business Rules, financial promotions, AML/CFT, and governance obligations.
• Experience supporting regulatory reporting, financial promotion reviews, compliance monitoring, risk assessment and compliance advisory activities.
• Familiarity with UK and European regulatory requirements including cross-border distribution considerations.
• Collaborative, proactive and adaptable team player.
• Understanding of financial crime requirements, including AML, sanctions, and KYC obligations.
• Experience developing or supporting compliance training and monitoring programmes.
• Excellent written and verbal communication, analytical, and organizational skills.
• Advanced Microsoft Office skills.
• Must hold FCA approval to carry out the SMF17 Money Laundering Reporting Officer (MLRO) Senior Management Function.

Nice to have

• Knowledge of private markets, investment funds, wealth management, or fund distribution
• Experience with compliance technology platforms and workflow management systems

About the company

iCapital is a fast-growing global organization.