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Compliance Director
2 weeks ago
Our client has experienced great success to date, building an enormous community of traders who have access a wide range of markets via their free app. An opportunity has arisen to join as the Director of Compliance, which will be a key role within themanagement team.
The Role:
- Lead and develop the international Compliance function - building a team of talented Compliance professionals and ensuring that processes and systems scale with the business
- Work closely with Product, Engineering and other teams to enable delivery in key product and change initiatives
- Own, improve and expand the compliance framework and monitoring programme - ensuring an effective and efficient approach to maintaining compliance
- Own the development and governance of the key risk indicators and key performance indicators for Compliance - including for reporting to the Board and executive risk committee
- Extensive experience gained from working in a senior compliance role in an FCA-regulated financial institution
- You have a detailed understanding of the FCA handbook and ideally of MiFID and other EU regulation
- You have deep technical expertise in several areas of compliance - for example, investor protection, SMCR, client assets, best execution and transaction reporting
- You ideally have experience of retail investment services
- You have strong management skills; you are able to build and manage a team of compliance professionals
