Vice President of Regulatory & Compliance (UK & EMEA)

• ICapital is seeking a Vice President, Regulatory & Compliance to join its International Regulatory & Compliance Team, based in London. This role will support a broad range of regulatory, compliance, corporate governance, and risk management activities across the firm’s UK and EMEA operations
• The successful candidate will work closely with senior members of the International Regulatory & Compliance Team to help maintain and enhance the firm’s compliance framework, support regulatory obligations, and partner with the business teams to ensure that our UK & EMEA offices are operating within the letter and the spirit of the regulations
• This role offers an excellent opportunity to gain exposure to multiple regulatory regimes, private markets distribution, corporate governance, and international compliance matters within a fast-growing global organization
• Support the development and enhancement of the UK and EMEA Compliance Framework, including overseeing compliance policies, procedures, and regulatory inventories
• Monitor regulatory developments and advise business stakeholders on applicable UK, European, and Middle East regulatory requirements, including cross border distribution
• Provide compliance guidance and reviews of financial promotions, distribution activities, conflicts of interest, AML/CFT, staff compliance, and other regulatory matters
• Develop and undertake risk-based assessments, compliance monitoring and testing, and support the deployment and remediation of identified issues
• Oversee and deliver compliance training and maintain appropriate training records
• Support regulatory reporting and governance obligations, including FCA filings and attending board meetings
• Maintain corporate governance records, regulatory registers and filings, board documentation, and support responses to regulatory enquiries, audits, and examinations
• Assist with financial crime and employee compliance programmes, including third party onboarding, AML/CFT, sanctions, personal account dealing, gifts and entertainment, outside business interests, annual attestations, investigations, incidents, breaches, and regulatory recordkeeping
• Improve compliance processes and controls, including through the responsible use of AI and other technology
• Work closely with senior management, colleagues, regulators and external stakeholders to identify and mitigate regulatory and compliance risks for the firm and its clients
• The role reports to the International Regulatory & Compliance leadership team and works closely with colleagues across Legal, Risk, Client Solutions, Product, Operations, Finance and Corporate Governance functions

Qualifications

• Strong understanding of FCA regulatory requirements applicable to licensed firms, including SMCR, Conduct of Business Rules, financial promotions, AML/CFT, and governance obligations
• Knowledge of private markets, investment funds, wealth management, or fund distribution would be advantageous
• 6-10 years of experience in compliance, regulatory affairs, risk management, audit, legal, operations, or compliance consulting within financial services
• Understanding of financial crime requirements, including AML, sanctions, and KYC obligations
• Familiarity with UK and European regulatory requirements applicable to regulated financial services firms, including cross-border distribution considerations
• Advanced Microsoft Office skills; experience with compliance technology platforms and workflow management systems is advantageous
• Collaborative, proactive and adaptable team player, able to manage competing priorities in a fast-paced environment
• Excellent written and verbal communication, analytical, and organizational skills
• Experience developing or supporting compliance training and monitoring programmes
• Experience supporting regulatory reporting, financial promotion reviews, compliance monitoring, risk assessment and compliance advisory activities
• The role will require the candidate to hold FCA approval to carry out the SMF17 Money Laundering Reporting Officer (MLRO) Senior Management Function

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