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Compliance Office

2 months ago

London, United Kingdom Birchlake Recruitment Full time

 

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