Director of Compliance

2 weeks ago

London, United Kingdom ec1 partners ltd Full time

Compliance Director


If you are considering sending an application, make sure to hit the apply button below after reading through the entire description.

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.

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