Head of Compliance

2 weeks ago

London, United Kingdom St Mary's Private Wealth Full time

This is an exciting opportunity to join a leading fintech St Mary's Private Wealth Limited in the payments space to head up their UK compliance function. You will manage all compliance and financial crime matters for the UK business. A background in banking compliance is preferred, with exposure to payments and the EMD. This role is based in London and ideally on a hybrid model, although remote can be considered.

The Head of UK Compliance oversees and operates the designing, managing, and monitoring of UK specific compliance procedures and policies, including but not limited to AML, Sanctions, Recordkeeping, Privacy and Consumer Protection. The individual will be responsible for managing company compliance with UK and European Payment regulations, managing audits and regulatory exams and ensuring staff receive appropriate training on the importance of compliance and their obligations.

Ø Key Responsibilities

l Act as the Firm's nominated compliance officer

l Drive a culture of compliance across the business with a focus on the voice of the consume

l Develop AML and financial crime processes, and ensure the implementation and appropriate controls that reflect business and regulatory requirements

l Facilitate risk-based Know Your Customer and Transaction Monitoring programmes to detect unusual activity and investigate and report suspicious activity in accordance to regulatory requirements

l Build relationships with relevant authorities, payment schemes, and regulators to ensure we operate according to the latest Financial Crime trends

l Ensure accurate responses and reports to the Regulator

l Oversee the operations of the UK Compliance team, including training, capacity planning, tracking team and individual Key Performance Indicators (KPIs), and Key Risk Indicators (KRIs) for the programme

l Work with Compliance leads to provide strategic planning, organisational structure, focus areas, and quarterly goals and key results

l Work with all relevant partners, financial institution partners, card networks and regulatory authorities

l Conduct compliance review and analysis of new regulatory developments and maintain oversight of developments affecting business activities

l Prepare reports to senior management and Board of Directors to communicate all relevant compliance issues and escalate any important or high risk compliance issues

l Work with internal compliance teams (such as Governance, Product Advisory, Quality Control) to identify clear steps necessary to avoid regulatory risks and provide solutions

Ø Key Requirements

l Eligible to work/live in the UK

l At least 7+ years of regulatory/ compliance experience, including experience working in regulated financial services entities

l Experienced working with the FCA and other regulatory authorities

l Experience with building and maintaining licensed products/services

l FCA Handbook in-depth and practical working knowledge

l Experience working with: Money Laundering Regulations 2017, proceeds of Crime Act 2002, Bribery Act 2010, Terrorism Act 2010, Fraud Act 2006, JMLGS guidance and EU MLDs

l Extensive knowledge of the financial services industry and regulatory landscape (PSD2, AML Directives, E-money Directive, Payment Services Regulations and Electronic Money Regulations, etc.)

l Experience within the enterprise wide risks area

l Excellent judgement

l Strong executive presence

l Skilled at leading through influence and collaborating with partners to drive better outcomes

l Ability to articulate risk and mitigating strategies to partners, executives, boards, and regulators

l Good organizational and analytical skills combined with innovative thinking

l Open communicator - excellent communication and interpersonal skills - ability to communicate regulatory compliance requirements to business - strong organisational, written, and oral communication skills

**Salary**: £80,000.00-£100,000.00 per year

**Benefits**:

- Bereavement leave
- Enhanced maternity leave

Schedule:

- Monday to Friday

Supplemental pay types:

- Yearly bonus

Ability to commute/relocate:

- London: reliably commute or plan to relocate before starting work (required)

**Language**:

- Chinese (required)
- English (required)

Work authorisation:

- United Kingdom (required)

Work Location: In person

Reference ID: SMPW230321

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