Compliance Advisory SME - Risk & Regulatory Controls (SMCR/CFTC) (h/f)

Compliance Advisory SME - Risk & Regulatory Controls (SMCR/CFTC)

London (Hybrid) x3 Days on-site

£800-900

emagine is a high-end professional services consultancy and solutions firm Specialising in providing business and technology services to the financial services sector, we power progress, solve challenges and deliver real results through tailored high-end consulting services and solutions.

We have created a culture of openness and integrity by building genuine and strong relationships and partnerships, enabling us to be uncompromising in our dedication in delivering the optimal service for our clients. Our commitment is not just towards our clients but we aim to foster a positive and equitable working environment with our consultants and colleagues which stems from our core values: Confident, Dedicated, Responsible, Genuine.

We are seeking an experienced Compliance Advisory SME to play a key role in shaping and managing the compliance and control environment across our UK and US operations.

The role demands deep regulatory expertise, especially in SMCR (Senior Managers and Certification Regime), CFTC (Commodity Futures Trading Commission), and risk management, as well as strong operational execution skills to support policy adherence, certification, and regulatory reporting processes.

This role is central to ensuring regulatory obligations are met and that the firm maintains a strong compliance and risk control framework. You will work in close collaboration with compliance teams in London and the US, managing regulatory submissions, certifications, and control testing.

The Role:

• Lead advisory responsibilities for compliance-related issues across UK and US regulatory environments (SMCR, CFTC, SEC).

• Conduct comprehensive compliance risk assessments to identify, measure, and mitigate compliance risks across functions.

• Identify gaps in existing compliance and control processes; develop and drive remediation plans.

• Oversee the governance, documentation, and control environment, ensuring alignment with internal policies and external regulatory requirements.

• Manage and enhance the certification process for new and existing employees, including onboarding, role mapping, and regulatory notifications.

• Administer licensing and submission processes for certified individuals ensuring timely and accurate filings with regulators.

• Support the implementation and oversight of the Senior Managers & Certification Regime (SMCR), including Statements of Responsibility and Reasonable Steps documentation.

• Lead the design and distribution of compliance attestations and CFTC exemption questionnaires.

• Develop and implement compliance policies and training materials tailored to regulatory expectations and firm needs.

• Maintain and enhance the compliance control framework, ensuring that the firm is continuously aligned with evolving regulations and industry best practices.

• Ensure that manual compliance controls (eg, spreadsheets, trackers) are effectively managed, monitored, and eventually automated where appropriate.

• Serve as a compliance advisor to senior stakeholders across multiple jurisdictions.

• Build strong working relationships with business units, operations, legal, HR, and other key internal stakeholders.

• Provide mentoring and guidance to junior compliance team members.

• Represent the compliance function in internal and external audits, regulatory inspections, and board reporting.

Key Skills and Experience:

To succeed in this role, you will need:

• Strong subject matter expertise in regulatory compliance (specifically SMCR, CFTC, SEC).

• Demonstrated experience conducting regulatory and compliance risk assessments.

• In-depth understanding of risk and control frameworks in financial services.

• Proven track record in managing manual compliance processes (Excel trackers, email-based controls, SharePoint, etc.).

• Strong interpersonal and written communication skills to engage with internal teams and regulators.

• Ability to operate in a cross-jurisdictional environment with nuanced regulatory differences.

• Experience handling licensing and registration processes (eg, FCA, NFA/FINRA submissions).

• Knowledge of the UK and US regulatory landscape, including relevant updates and industry expectations.

• Background in building or enhancing compliance frameworks or operating models.

Interested?

If you are up to the challenge and would like to find out more, get in touch with us immediately, our internal recruitment team is always keen to hear from dynamic individuals that are looking to further their career and explore their full potential.

emagine is an equal opportunity employer, and employment practices are based strictly on merit. It is the policy of the Company to give equal opportunity in employment regardless of sex, sexual orientation, marital status, race, age, disability, gender reassignment, pregnancy and maternity, religion or ethnic origin