Head of Compliance

3 days ago

London, United Kingdom InterQuest Group Full time

Head of Compliance & MLRO

Payments


Are you interested in joining a rapidly growing EMI?

This is a newly created position in a rapidly growing EMI in the Payments space. Here you will be have the opportunity to utilise your regulatory expertise to define and implement a regulatory compliance program inclusive of frameworks, strategy, regulatory advice and overall oversight from the 2nd line.


This is a fast paced, highly entrepreneurial environment so is ideally suited to someone with excellent communications skill and able to translate complex regulatory matters to a broad audience within the business.


Responsibilities and Duties

  • Providing compliance leadership and guidance as an independent 2nd line regulatory and conduct advice, oversight, and assurance subject matter expert for the firm.
  • Ensuring the companies compliance with the FCA rules and regulations, alongside any other applicable legislation
  • Ensure all regulatory reporting is accurate, complete and submitted in a timely manner.
  • Secondary contact for regulatory bodies
  • Review and maintain existing comprehensive and effective compliance policies and procedures, and create new ones where required.
  • Development of the compliance plan
  • Develop of the (non-financial crime) compliance plan and associated processes
  • Development of compliance MI
  • Identifying situations that may pose significant compliance and conduct risks and ensure that you guide the Leadership team in the development / reviewing of applicable policies, marketing materials, procedures, and business practices.
  • Providing compliance sign-off on internal and customer documentation, marketing, and financial promotions.
  • Responsible for identification, impact analysis and oversight of implementation of regulatory changes


As Compliance Director & MLRO your responsibilities will include:

  • Act as Compliance specialist across the full spectrum - Advisory, Monitoring and Regulatory
  • SMF 17 – MLRO
  • Own safeguarding challenges to the business
  • Submit and be the main point of contact with the FCA
  • Be solutions orientated – finding/implementing solutions across the business


You should apply for the Compliance Director & MLRO position if you:

  • Demonstrable E-Money Institution, Payments Institute experience Mandatory
  • Issuing/Acquiring Experience
  • Senior stakeholder engagement – be a clear communicator at executive level.


What’s next?

If you are interested in the Compliance Director & MLRO position, then send your CV to me directly at Jim.Chappell@interquestgroup.com

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