Compliance Officer: Regulatory Oversight Specialist

6 days ago

London, Greater London, United Kingdom Alexander Barnes Full time

Alexander Barnes is seeking a Senior Compliance Officer to lead a European Payments FinTech search.

This role is responsible for ensuring regulatory adherence and managing compliance risks as the company continues its growth trajectory.

The Compliance Conduct Lead will play a key role in the oversight of policies, frameworks, and risk management processes, ensuring compliance is effectively managed by the first line of defence.

This includes evaluating the effectiveness of key risk management activities:

  • Governance
  • Business-Wide Risk Assessments
  • Transaction Monitoring
  • Information Security
  • Complaints
  • Safeguarding

Key Responsibilities:

  • Develop a risk-based Monitoring and Testing Programme with the Global Head of Compliance.
  • Align compliance efforts to enhance customer outcomes in client and partner interactions.
  • Conduct thematic reviews, escalate findings, and work with teams to resolve issues.
  • Continuously assess regulatory risks and monitor critical processes.
  • Perform quality assurance on the first line's control framework and provide improvement feedback.
  • Track and ensure completion of corrective actions, including post-closure testing.
  • Report on the compliance programme's progress, updating it for emerging risks.
  • Advise on compliance with consumer duty regulations, covering outsourcing, product governance, complaints, and conflicts of interest.
  • Identify and escalate regulatory risks, recommending mitigation strategies.
  • Propose improvements to policies and processes to ensure compliance with standards.

Essential Skills and Experience:

  • Minimum of 5 years of experience in compliance within the financial services or payment institutions industry.
  • Proven expertise in the supervision and oversight of third-party partners, including knowledge of Customer Due Diligence (KYC/KYB/Onboarding) and Transaction Monitoring.
  • Experience in a compliance function or controls environment, ideally within a corporate lending business.
  • Strong understanding of FCA regulatory requirements, Payment Services Regulations, and operational control guidelines.
  • Demonstrated ability to drive process improvements and implement new procedures.
  • Exceptional analytical and report writing skills, with the capacity to deliver thorough assessments and reviews.

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