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Interim Chief Compliance Officer

2 months ago

London Area, United Kingdom ETRA Talent Full time

The Interim Chief Compliance Officer will oversee and manage the UK compliance function, ensuring adherence to FCA regulations and other applicable laws. This role is critical in safeguarding the Company's reputation and operational integrity, providing strategic leadership on compliance matters, and fostering a culture of ethical business practices.


Responsibilities:


  • Liaise and report to the relevant regulatory bodies as required by the applicable regulations
  • Act as an adviser to the Company’s Board of Directors and Senior Management on general compliance issues
  • Maintain an up-to-date understanding of relevant aspects of prevailing business practices in the Company and the application of regulation to its business
  • Ensure local operation/administration procedures comply with relevant regulations and that this is adequately documented
  • Ensure staff are trained in local regulatory requirements and receive induction training, and that all staff required to comply with the relevant regulator’s training and competence regime do so
  • Advise staff on regulatory issues as and when required
  • Conduct and record regular monitoring to ensure that business and transactions of the Company are conducted in compliance with in-house rules and regulations, ensuring that client due diligence complaint procedures are adequate
  • Ensure any issues arising are satisfactorily addressed and resolved
  • Investigate issues of concern in relation to compliance as and when required
  • Assess the Company’s status of compliance and report periodically to senior management and the Board of Directors, keeping them informed of all relevant matters
  • Design and review the Company’s internal policies and procedures related to compliance matters and controls relevant to the prevention of money laundering and terrorist financing
  • Monitor and assess the correct and effective implementation of the policies in relation to the prevention of money laundering and terrorist financing, implementation of the risk management and procedures manual, and apply monitoring mechanisms in order to assess the level of compliance of the departments and employees of the Company
  • Give guidance for corrective measures where necessary and inform the Board of Directors if needed
  • Detect, record, and evaluate, at least on an annual basis, all risks arising from existing and new customers, new financial instruments and services, and update and amend the systems and procedures applied by the Company
  • Assist with internal and external audit
  • Provide support with regard to CASS oversight and control


Requirements:


  • Experience in a similar compliance role within the financial services industry, preferably within a FinTech environment
  • In-depth knowledge of FCA regulations and UK financial services laws
  • Proven experience in developing and implementing compliance programs and policies
  • Strong analytical and problem-solving skills with the ability to assess complex compliance issues and develop effective solutions
  • Excellent communication and interpersonal skills, with the ability to influence and build relationships at all levels
  • High ethical standards and a commitment to integrity and professionalism
  • Demonstrated leadership and team management abilities
  • Bachelor’s degree in Law, Finance, Business Administration, or a related field
  • A Master’s degree or professional certification is a plus
  • Previously held SMF16/SMF17 role