Director of Compliance

2 weeks ago


Camden Area, Greater London, United Kingdom EC1 Partners Ltd Full time
Compliance Director

I am partnered with a fintech company focusing on capital markets that helps financial institutions transition liquidity. They are currently looking for an experienced, hands-on Director of Compliance to join their London office

Responsibilities:

nManage the regulatory risk profile of the business and operations, including providing pragmatic recommendations to senior business and corporate function stakeholdersnSupport new product development work across all product lines (regulatory advisory and control implementation) and complete associated regulatory filings, where requirednMaintain strong and co-operative relationships with our regulators.nreviews in order to assess compliance with legal, regulatory, and internal firm policy requirements;nteam members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations;nthe root cause of issues and develop effective remediation plans to mitigate the risks;nimplementation of local regulatory change/remediation projects and initiatives.


Requirements:

n7+years of industry experience within institutional broker-dealer activities;nexperience with a broker is requirednexperience of being an SMF16 officer (Compliance oversight) and SMF17 officer(MLRO);nexperience within the securities financing industrynable to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting.

If you believe your experience meets the criteria, please apply with a copy of your CV.

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