Regulatory Compliance Specialist

3 weeks ago

London, Greater London, United Kingdom Compliance Professionals Full time

ABOUT THE ORGANIZATION:

Our client is a forward-thinking investment platform operating within the Fintech sector, poised for significant expansion. They are in search of a Regulatory Compliance Specialist to enhance their team.

KEY RESPONSIBILITIES:

  • Oversee daily financial promotion approvals, address complaints, conduct transaction assessments, and manage onboarding inquiries.
  • Complete relevant sections of regulatory reports and applications as required.
  • Execute and manage the Compliance Monitoring program, ensuring checks on optimal execution and financial promotions.
  • Revise company policies and procedures, and assist in delivering regulatory training.
  • Remain updated on regulatory developments and incorporate this knowledge into organizational policy.
  • Exhibit a strong commitment to fintech compliance, leveraging your expertise to shape strategy, propose solutions, and mitigate risks.
  • Facilitate the establishment of compliance controls and processes, ensuring adherence to FCA regulatory standards, AML/CTF, and other relevant regulations.
  • Collaborate effectively within the Compliance team to maintain a robust compliance framework.
  • Engage with various departments, including AML Finance, Risk, Product, Technology, and Sales and Marketing, to uphold compliance standards.
  • Foster a culture centered on compliance with consumer interests as a priority.
  • Assist in developing compliance processes that align with both business objectives and regulatory requirements.
  • Support risk-based compliance initiatives that safeguard consumers and ensure adherence to financial crime regulations.
  • Contribute to management and Board reports on compliance issues, emphasizing any significant risks.

QUALIFICATIONS REQUIRED:

  • A minimum of 3 years of relevant generalist compliance and financial crime experience within a buy-side investment firm.
  • Practical experience in establishing and managing a compliance program, along with a solid understanding of UK regulatory requirements.
  • A motivated individual eager to be part of a high-growth startup environment, with the potential to make a meaningful impact.
  • Familiarity with the FCA handbook, HMRC ISA regulations, JMLSG, and GDPR guidelines.
  • A willingness to engage in research and utilize industry contacts to find solutions, even in areas where prior experience may be lacking.

For additional details, please reach out to our team.

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