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Senior Compliance Officer/MLRO

3 months ago

Manchester, United Kingdom Plutus Full time

We are a UK based Fintech startup, bridging the gap between the traditional payment infrastructure and the blockchain. A distributed team with our head office in London for our local team, however we encourage working 100% remotely/hybrid, we are passionate about our product, we have a great engineering culture, and we're looking for other talented individuals to join us to disrupt the finance industry.


We are a highly collaborative team with little micro-management but you'll get lots of guidance and support from your colleagues. Task ownership is key; we strongly believe that freedom and autonomy brings out the best attribute in people.


What we do

The company was founded in 2015 and had developed and launched several products with hundreds of thousands of downloads and users of our applications, our product achievements so far:

  • Personal finance and management platform
  • Decentralised Rewards Model 
  • Payment infrastructure with third party VISA integration
  • Peer-to-Peer currency exchange built on the Blockchain
  • Decentralised Loyalty Programme, American Express 3.0
  • Android Finance Application
  • iOS Finance Application


Your role:

You will be the responsible for the Compliance department and its team in supporting the development of the programme and using your experience to help maintain an excellent compliance-aware culture. It’s an opportunity to put your stamp on something and help shape how we regulate compliance at Plutus.


Your responsibilities:

In this role you’ll work on:

Regulatory Compliance

  • Provide compliance advice to the rest of the Plutus team, business units and management. Develop relationships with the FCA and other relevant regulatory boards across the EEA 
  • Overseeing applications to relevant licenses in UK and EEA 
  • Construct, review and maintain compliance policies, procedures and processes to ensure that the systems and controls framework is adequate and up-to-date.
  • Implement best practice and horizon screening to ensure stakeholders are made aware of any changes expected.
  • Conduct compliance reviews, perform compliance monitoring and surveillance to ensure that policies, procedures and practices are being followed and adhered to.
  • Provide regular internal management information on compliance related activities, for onward escalation, including the development of compliance governance packs.
  • Manage awareness, identification and remediation of compliance breaches, and ensure these are escalated appropriately.
  • Implement risk-based monitoring and assurance programs on core oversight activities - such as complaints, customer outcomes, outsourcing, product governance, financial promotions, etc.
  • Assist on the development and delivery of compliance training to the organisation.
  • Partner with the other Team Leads to drive the appropriate execution of compliance requirements and product governance.

Financial Crime Compliance

  • A core MLRO in ensuring Plutus operates in accordance with all legal and regulatory requirements and group standards relating to Anti-Money Laundering and Counter-Terrorism Financing, Market Abuse, Anti Bribery, PEPs and Sanctions, Criminal Finances and Fraud.
  • Assess the money laundering risks of any new products and services, or any new channels for promoting and distributing them
  • Perform financial crime thematic reviews and implement control testing programmes
  • Perform group-wide risk assessments and communicate outcomes to senior management committees and via the MLRO Report
  • Maintaining oversight of High-Risk relationships, PEP management, EDD sign off, periodic and trigger review processes and breach management, escalating to the MLRO where appropriate
  • Act with devolved authority to investigate and assess internal SARs, and manage through to the conclusion of disclosure to the NCA, or documented rationale for non-disclosure.
  • Ability to demonstrate the use of technology to fight and prevent fraud 

Your Qualifications:

What we need to see:

  • Minimum of 7 years of relevant experience working in an e-money, payment services or a corporate banking environment - ideally having operated at Senior Manager or DMLRO level already in a second line role.
  • Experience and a good understanding of the Payment Services Regulations, Emoney Regulations, FCA and AML rules.
  • Strong written and verbal communication skills - in particular, experience of writing policies, briefing papers and reports.
  • A keen eye for detail and the ability to confidently challenge the business units, and advise on solutions to problems.
  • The ability to build strong relationships, make impactful contributions and influence business strategy.

What we’d love to see:

  • You’ll need to be a generalist for this role - it’d be great to see if you have experience in one of each: Regulatory Compliance, Conduct, Financial Crime and Data Protection.
  • Strong track record of implementation and execution of regulatory and compliance programs.
  • Strong understanding of AML rules, Money Laundering Regulations and how to implement the risk based approach.
  • Strong understanding of GDPR and Data Protection Compliance.
  • Experience of delivering compliance advice and training to internal stakeholders.
  • An pragmatic way of thinking, coupled with legal, compliance or financial qualifications.
  • An excellent communication style - both verbally and in writing.

Bonus

  • You can demonstrate deep knowledge of blockchain and digital currencies.
  • You have knowledge of payment systems.
  • You're an early adopter and have the ability to pick up new technology quickly.
  • You're fluent in multiple languages.

Benefits


  • 100% remote working/hybrid 
  • Flexible working hours.
  • Quarterly socials.
  • You’ll receive a great deal of guidance and support from our team.
  • Join the Crypto Revolution
  • Salary of up to £100,000