Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Head of Compliance & MLRO to join the business.
THE RESPONSIBILITIES:
Developing and implementing company policies and procedures across all business areas,
Designing and monitoring control systems to deal with violations of legal rules and internal policies
Regularly assessing the efficiency of risk and control systems and recommending effective improvements
Working with product and operational teams to implement new features in a compliant manner
Taking on responsibilities of the MLRO and ensuring financial crime systems and controls are sufficient for the needs of the business
Oversee periodic monitoring on company procedures and processes and evaluating company procedures and reports to identify hidden risks or common issues,
Leading employee training sessions on legal and compliance issues,
Assist the business where appropriate with ad hoc legal matters such as NDA and Third party agreement reviews and coordinate with legal counsel for specific matters where needed.
Manage the Compliance team.
EXPERIENCE REQUIRED:
Minimum 8 years’ relevant experience in financial services compliance preferably in a retail broker or asset management firm.
A bachelor’s degree (law, regulation or economics) is desirable but not required.
Experience working with and managing the demands of key stakeholders, as well as advocating for improvement of systems and controls to adhere to regulatory requirements.
Strong experience in a leadership/senior management role within compliance and the ability to manage a team.
Extensive knowledge of UK regulatory compliance, in particular FCA rules and guidance, still applicable European legislation (MiFID, GDPR, MLDs) and general industry standards.
Awareness of the changing investment management landscape and the curiosity to find opportunities in technology, market developments, though these changes
Knowledge and experience of systems required to carry out your role, including; Microsoft Office Suite (particularly Excel).
For further information please contact Spencer Evans
