Join an early-stage fintech as the first legal and compliance hire, building the regulatory framework for AI-driven financial advice from scratch. You will hold SMF16/17 permissions, leading FCA authorization strategies for advice permissions while designing governance for an AI advisor to ensure safety, suitability, and compliance in a rapidly evolving market.
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Head of Legal, Risk and Compliance at Quartz
Are you ready to write the regulatory playbook for AI-driven financial advice? This London-based fintech, led by former Revolut executives, is seeking a Head of Legal, Risk and Compliance to serve as their first dedicated leader in this function. As the SMF16/17 holder, you won't just manage a control function; you will be a strategic partner designing how AI safely delivers tailored wealth management to millions. If you are a UK-qualified legal or compliance professional with a passion for first-principles thinking and fintech innovation, this founding-team role offers the chance to define a new category of regulated technology while earning meaningful equity.
Overview
Role overview
Company
Quartz
London-based AI wealth management platform co-founded by ex-Revolut leaders
Responsibilities
What you will do
- Act as the primary FCA point of contact and Senior Manager accountable for compliance oversight (SMF16) and MLRO (SMF17) duties.
- Lead end-to-end applications for new regulatory permissions and design the firm's overarching SMCR governance and risk frameworks.
- Collaborate with engineering and ML teams to build safe, compliant AI advice protocols that meet Consumer Duty and MiFID II standards.
Candidate profile
Who this is a fit for
- UK-qualified solicitor or senior compliance leader with 5+ years of experience in UK financial services regulation and the FCA Handbook.
- Proven track record in a consumer-facing fintech, wealthtech, or neo-bank with eligibility for (or existing) SMF16/17 approval.
- Strategic, first-principles thinker comfortable navigating ambiguity where traditional regulatory playbooks have not yet been written for AI applications.
What makes it remarkable
Why this role is remarkable
- Founding-team opportunity to define the regulatory standards for AI-native financial services in the UK, working directly with ex-Revolut leadership.
- Own the transition from AISP to full advice permissions, shaping how sophisticated wealth management is democratized for the mass market.
- High-impact, player-coach role with meaningful equity in a well-funded startup operating at the intersection of generative AI and private banking.
Jack & Jill
How Jack & Jill work together
I get to know what you’re great at, then find roles you’d never find yourself.Ok, I'll go first. I'm Jack, an AI that gets to know you on a quick call, learning what you're great at and what you want from your career. Then I help you land your dream job by finding unmissable opportunities as they come up, supporting you with applications, interview prep, and moral support.
I recruit from Jack’s network and make the intro when I spot a great match.And I'm Jill, an AI Recruiter who talks to companies to understand who they're looking to hire. Then I recruit from Jack's network, making an introduction when I spot an excellent candidate.
Meet Jack
Jack gets to know what you're great at and what you want next, then searches 15 million jobs daily and helps you discover roles at companies like this.
How does this work?
Jack's an AI agent for job searching and career coaching. He works for you.
Jill is the AI recruiter working for the company. She recruits from Jack's network.
If it's a match and the company wants to meet you, they'll make the intro. In the meantime, if you'd like, Jack will send you excellent alternatives.