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Director of Compliance

4 months ago

London Area, 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:

  • Manage the regulatory risk profile of the business and operations, including providing pragmatic recommendations to senior business and corporate function stakeholders
  • Support new product development work across all product lines (regulatory advisory and control implementation) and complete associated regulatory filings, where required
  • Maintain strong and co-operative relationships with our regulators.
  • reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements;
  • team 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;
  • the root cause of issues and develop effective remediation plans to mitigate the risks;
  • implementation of local regulatory change/remediation projects and initiatives.


Requirements:

  • 7+years of industry experience within institutional broker-dealer activities;
  • experience with a broker is required
  • experience of being an SMF16 officer (Compliance oversight) and SMF17 officer(MLRO);
  • experience within the securities financing industry
  • able 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.