Head of Compliance

20 hours ago

White City, United Kingdom BCT Resourcing Full time

**Head of Compliance
City of London**
**£80,000 - £100,000 per annum**
A fantastic Head of Compliance role within a Hyper-Growth, well funded Fin-Tech start up.
One of the most exciting Fin-Tech start-ups within the investment space are looking for an ambitious Head of Compliance to join the business to build and implement their compliance function.
The company have just launched their platform to the general public and are disrupting the investment space with their forward thinking platform. The business have excellent funding raised and secured and are now starting their next growth phase.
As the Head of Compliance, your duties will be:

- Ensuring the the companies compliance with the FCA rules and regulations, alongside any other applicable legislations such as the Money Laundering Regulations.
- Act as the primary contact for all regulatory contact.#
- Take on sole responsibility for the SMF Functions.
- Ensure all regulatory reporting is accurate, complete and submitted in a timely manner.
- Review and maintain existing comprehensive and effective compliance policies and procedures, and create new ones where required.
- Ensure KYC, AML and sanctions policies and procedures are robust, effective and up to date.
- Ensure our control framework relating to financial crime is robust and frequently assessed.
- Keep up to date and track any new regulatory updates and where necessary, provide regular internal updates to all key stakeholders.
- Ensure appropriate compliance activity and monitoring plans are in place and present the performance & outcomes of these to key stakeholders, including the Board.
- Production of regular risk management information to key stakeholders, including the Board.
- Develop, implement and update adequate risk management policies, standards and supporting processes for the nature, scale and complexity of the business, and the nature and range of financial services and activities undertaken.
- Monitor and develop controls and oversight of critical outsourcers and key supplier arrangements.
- Review and sign off all financial promotions.
- Responsible for identification, impact analysis and oversight of implementation of regulatory changes
Key Requirements:

- An excellent understanding of regulations including COBS, T&C, SYSC, DISP, PRIN, PERG, SUP, CASS and DPA/GDPR
- A sound understanding of AML and financial crime regulations
- A good understanding of both conduct and operational risk frameworks and culture
- Strong understanding and working knowledge of current risk and compliance practices and techniques and implementing frameworks
- Proven experience in dealing with regulatory bodies
- A strong and demonstrated ability to provide pragmatic compliance advice and a thorough understanding of relevant regulatory requirements
- Ability to communicate clearly and concisely on complex regulatory compliance issues at all levels, both internally and externally
- Ability to embed a culture of compliance companywide
This is a truly unique and exciting opportunity for an accomplished Head of Compliance to join one of the most exciting businesses within the the investment Fin-Tech space. The company are also happy to offer equity within the company.

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