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Lead Compliance Strategist

2 months ago

City of London, United Kingdom Arbuthnot Yon Full time
Position Overview

Arbuthnot Yon is a dynamic player in the financial technology sector, particularly within the securities finance domain, with over two decades of industry presence. As the company embarks on an exciting growth trajectory, we are seeking a seasoned Compliance Strategist to steer our compliance initiatives as we transition into an FCA regulated entity in the UK.

This role encompasses a wide array of compliance responsibilities across the organization. It is crucial for the evolution of our Compliance framework, serving as a vital second line of defense by aiding management in pinpointing, evaluating, and effectively mitigating compliance risks. For candidates with the right expertise, this position may evolve into a Head of Compliance role.

Key Responsibilities:

  • Assist in the formulation and upkeep of a comprehensive risk and control framework;
  • Hold Senior Management Functions (SMF 16 & 17) and cultivate a transparent and proactive relationship with the FCA;
  • Ensure timely and accurate completion of all necessary regulatory submissions;
  • Proactively counsel the Senior Management Team on matters related to regulated activities and associated risks;
  • Deliver regular reports and management information to the Executive Committee, supporting the General Counsel and Chief Financial Officer in preparing compliance and risk reports for the Board;
  • Collaborate closely with the Legal team to provide daily compliance guidance to business units and support functions, engaging with external advisors as necessary;
  • Coordinate with external advisors to facilitate the preparation and submission of relevant regulatory applications, including Director/SMCR changes and other approvals, while liaising with Legal on FCA information requests.

Desired Technical Qualifications:

  • Minimum of 8 years of in-house compliance experience within an FCA regulated financial services organization (sell-side, buy-side, or market infrastructure);
  • Thorough and practical understanding of the FCA Handbook;
  • Strong grasp of current and emerging regulations in the UK, EU, and US, particularly DORA, UK CTP, SFTR/SEC 10c1a, CSDR, MiFID, and GDPR;
  • Solid academic background – a degree in finance, business, or law is preferred;
  • Professional compliance certification is advantageous but not mandatory.

Essential Soft Skills:

  • Exceptional analytical abilities, combined with a curious mindset and a commitment to continuous improvement;
  • Highly organized, capable of working autonomously as well as collaboratively;
  • Excellent written and verbal communication skills, with the ability to simplify complex concepts;
  • Strong interpersonal skills, fostering relationships across various functions and regions;
  • Ability to excel in a fast-paced environment, effectively prioritizing and managing multiple time-sensitive tasks with sound judgment.

This newly established role is pivotal in a growing, collaborative, and award-winning organization. As the first dedicated compliance hire, the right candidate will have the unique opportunity to shape the compliance landscape and make a significant impact.

Arbuthnot Yon promotes a hybrid working model, requiring a minimum of two days in the office, with flexible working hours available.

This is a full-time position, but we are open to considering part-time arrangements (3-4 days per week) for candidates who can effectively fulfill the role in fewer days.

We offer a competitive salary, an annual discretionary bonus, a pension plan, and a comprehensive benefits package.

Due to the volume of applications, we will only respond to candidates who meet the qualifications for this role.