Compliance Officer

THE COMPANY:

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.

THE RESPONSIBILITIES:

• Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.
• 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