Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.
Complete necessary sections of Regdata reports and Connect applications as needed.
Implement and carry out the Compliance Monitoring programme, including checks on best execution and financial promotions.
Update company policies, procedures, and help deliver regulatory training.
Stay informed on regulatory changes and integrate this knowledge into company policy.
Be passionate about fintech compliance, and be able to use your knowledge and experience to help formulate strategy, propose solutions and manage risk..
Help to drive the implementation of compliance controls and processes, ensuring adherence to FCA regulatory Compliance, AML/CTF, and other regulations.
Be a collaborative member of the Compliance team to uphold an effective compliance framework.
Work across departments, including AML Finance, Risk, Product, Tech, and Sales and Marketing, to maintain compliance standards.
Promote a compliance-focused culture with consumer interests at the forefront.
Aid in the development of compliance processes that align with business and regulatory demands.
Support risk-based compliance programmes that protect consumers and ensure financial crime regulation compliance.
Contribute to reports for management and the Board on compliance matters, highlighting any major risks.
EXPERIENCE REQUIRED:
At least 3+ years of directly relevant generalist compliance & financial crime experience in a buy side investment firm
Operational knowledge in building and running a compliance program and hands-on knowledge of UK regulatory requirements
Be driven and determined to be part of a high-growth start-up team where you will have the opportunity to make a significant impact
Knowledge of the FCA handbook, HMRC ISA rules, JMLSG and GDPR guidance
To be prepared and be flexible in research through, knowledge and using industry contacts, to find answers where you may not have previous experience
For further information please contact Spencer Evans
