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Compliance Monitoring Manager
1 week ago
Our client, a privately owned fast-growing fintech company providing Platform, MPS and financial planning solutions firm is looking to recruit an experienced compliance professional, ideally with a minimum of 4 years relevant experience and a background within financial advisor/ planning and platform operations.
Reporting to and working alongside the Head of Compliance, they are looking for interesting people with at least:~4 years (or more) of compliance experience, specifically within financial advisor/ planning and platform operations.
~ You must be willing and able to embrace the pace of an early-stage company and be able to distil all things compliance into something that is easy to understand, engaging and relevant to your audience.
Due diligence of KYC protocols, sanctions and financial crime screening
Due diligence of AML screening and Anti-Terrorism red flags and anomalies
Data gathering and analysis;
Complaints monitoring and reporting
Conflict monitoring and reporting
Gift and inducements monitoring and reporting
Regular platform operational compliance data gathering and reporting;
Risk management reporting;
Monitoring of Reg Cap
Working alongside the Head of Compliance:
Supporting across all areas within the Risk and Governance responsibilities[1] [2] ;
Maintaining policies and procedures
Developing and delivering refreshing compliance content to internal and external stakeholders.
Partnering with our Growth, Adviser Success and Investment teams to ensure we stay on the front foot of best practice and regulatory matters.
Supporting ad-hoc projectsIt is home based with the option of going to their office in London on an as and when basis.
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