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Compliance Office
2 months ago
The role:
As Compliance Officer & MLRO (SMF 16 & 17), you will play an important role in the scaling up the business in a compliant and robust manner, as they continue to launch new products and explore additional regulatory permissions, home and abroad, and strategic growth initiatives.
You will play a pivotal role in helping to bring genuinely innovative products to market whilst delivering the highest levels of compliance.
Responsibilities:
- Delivering high-quality compliance oversight and challenge to the business and acting as the central point of contact for any compliance-related issues
- Ensuring the firm’s policies and procedures are being communicated effectively across the organisation and employees are trained in appropriate compliance areas.
- Managing compliance systems and processes, across areas including AML, consumer credit and discretionary portfolio management. Proactively auditing these processes and providing ongoing assessments of areas for improvement
- Responsible for keeping up to date with regulatory developments, maintaining a strong relationship with the regulator and managing all reporting requirements.
- Collaborating with the product and development teams by providing compliance advice as we design and develop new products for the UK market
Requirements:
- 7+ years of Compliance experience ideally within a MiFID Investment Firm, or Credit Institution
- A strong understanding of the UK regulatory environment for investment, banking, and consumer lenders, including AML, information security, etc.
- Interest in fintech and demonstrable experience of working with product and technology teams. An entrepreneurial mindset and a desire to be part of a fast-moving startup
- A strong academic background in a relevant subject. A compliance qualification would be a plus.
- The ability to communicate effectively with key internal and external stakeholders, including the regulator.
- High levels of integrity and a commitment to the establishing and maintaining the highest ethical and professional standards
What they offer:
- A unique startup experience, building an investment company and compliance function from the ground up
- The opportunity to be part of launching products that can help build wealth for hundreds of thousands of people in the UK and eventually beyond
- Work with a passionate and driven team from a diverse range of backgrounds
- Competitive startup compensation package (including an equity component)
- Currently a hybrid remote/office set up. London location preferred, but opportunity to be flexible