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DMLRO / Senior Compliance Manager

3 months ago

UK, UK, United Kingdom Verto Full time

At Verto, we’re passionate about helping businesses in Emerging markets reach the world. What first started life as a FX solution for trading Nigerian Naira has now become a market-leading platform, changing the way thousands of businesses transfer money in and out of Emerging Markets.


We believe that where you do business shouldn’t determine how successful you are, or your ability to scale. Millions of companies a day have to juggle long settlement periods, high transaction fees and issues accessing liquidity in order to trade with African businesses. We’re on a mission to change this by creating equal access to easy payment and liquidity solutions that are already a given in developed markets.


We’re not alone in realising the opportunity and need to solve for emerging markets. We’re backed by world-class investors including Y-Combinator, Quona and MEVP, power payments for some of the most disruptive start-ups in the world and have a list of accolades from leading publications including being voted ‘Fintech Start Up of the Year’ at Fintech Awards London 2022.


Each year we process billions of dollars of payments and provide companies with solutions which help them to save money, automate processes and grow, but we’re only just getting started....


We are seeking an experienced Senior Compliance Manager/Lead to join our team. The ideal candidate will have at least five years of relevant experience in compliance roles, with a strong understanding of regulatory requirements and industry best practices.


The role

As the Senior Compliance Manager/Lead in our fintech organisation, you’ll report directly to our Head of Compliance & MLRO and be responsible for leading and overseeing compliance initiatives, ensuring that our company operates within legal and regulatory guidelines. This role plays a crucial role in ensuring that the firm operates in full compliance with regulatory requirements and industry standards.


This role requires a strong understanding of financial regulations, particularly in the payment industry, along with the ability to implement and maintain effective compliance programs. The individual will support the Head of Compliance & MLRO in overseeing the firm's regulatory compliance, AML/counter-terrorist financing efforts and governance.


Success in this role requires someone comfortable working in a fast-paced environment to build strategy and execution plans as well as developing strong relationships both internally and with key partners. This role requires a forward-thinker who is able to balance being ruthlessly customer-focused with internal resources and external requirements.


What you’ll be doing

1. Compliance Program Management:

● Develop and implement compliance programs, policies and procedures in

accordance with applicable laws, regulations, and and controls relevant to the

payment fintech industry.

● Conduct regular gap assessments and risk analyses to identify areas of

improvement and enhance the effectiveness of our compliance program over

time.

● Collaborate with cross-functional teams to integrate compliance requirements

into business processes and product development.

● Monitor changes in regulatory requirements and assess their impact on the

firm's compliance program.

● Coordinate with relevant stakeholders to ensure timely implementation of

regulatory updates and enhancements to compliance processes and procedures.

2. Regulatory Compliance:

● Monitor regulatory developments and assess their impact on the firm's

operations.

● Conduct compliance risk assessments and assist in developing mitigation

strategies.

● Respond to regulatory inquiries and coordinate regulatory examinations,

audits, and inspections.

● Evaluate the compliance posture of third-party service providers and vendors,

including payment processors and technology partners.

● Conduct due diligence reviews and ongoing monitoring to ensure that

vendors meet compliance standards and contractual obligations.

3. Anti-MoneyLaundering(AML) and Counter-TerroristFinancing(CTF):

● Investigate suspicious activities and file suspicious activity reports (SARs) as

necessary.

● Assist the MLRO in developing and implementing AML/CTF policies,

procedures, and controls in accordance with regulatory requirements and

industry standards.

● Conduct periodic reviews and assessments of the organisation's AML

program to identify and address any weaknesses or deficiencies.

● Monitor changes in AML laws and regulations and ensure that policies and

procedures are updated accordingly.

4. Compliance Monitoring and Surveillance:

● Utilise automated compliance monitoring tools and systems to detect and

investigate potential compliance breaches, unusual activities, or suspicious

transactions.

● Analyse data and trends to identify emerging risks and patterns that may

require further investigation or remediation.

● Oversee the organisation's transaction monitoring systems to detect and investigate suspicious activities.

● Analyse transactional data and conduct investigations into potentially suspicious behaviour or transactions.

● Ensure timely reporting of suspicious activities to the appropriate authorities in accordance with regulatory requirements.

5. Training and Awareness:

● Develop and deliver compliance training programs to employees, focusing on

relevant regulatory requirements and internal policies.

● Promote a culture of compliance and ethical conduct throughout the

organisation.

● Develop and deliver AML training programs for employees to increase

awareness of AML/CTF risks and responsibilities.

● Provide guidance and support to employees on AML-related matters,

including customer due diligence (CDD) and enhanced due diligence (EDD) requirements.

6. Reporting and Record keeping:

● Prepare and submit regulatory reports and filings in a timely and accurate

manner.

● Serve as a point of contact for compliance-related incidents, breaches, or

inquiries, and coordinate the firm's response efforts.

● Prepare incident reports and conduct post-incident reviews to identify root

causes and implement corrective actions to prevent recurrence.

● Maintain comprehensive records of compliance activities, including audit

trails, documentation, and reports.

7. Internal Controls and Testing:

● Conduct periodic compliance testing and internal reviews to assess the

effectiveness of controls and identify areas for improvement.

● Assist in implementing remedial actions and corrective measures to address

compliance deficiencies

8. Risk Assessment:

● Assist in conducting AML risk assessments to identify and prioritise AML/CTF

risks facing the organisation.

● Recommend risk mitigation strategies and controls to address identified risks

effectively.

● Develop risk mitigation strategies and action plans to address identified risks,

collaborating with business units and functional leaders to implement

appropriate controls and monitoring mechanisms.

● Establish key risk indicators (KRIs) and performance metrics to monitor the

effectiveness of risk mitigation efforts and provide regular updates to the Head of Compliance & MLRO and senior management.

9. Continuous Improvement and Innovation:

● Proactively identify opportunities to enhance the effectiveness and efficiency

of the compliance program through process improvements, automation, and

technology solutions.

● Participate in industry forums, working groups, and professional networks to

stay abreast of emerging trends and best practices in compliance

management.

● Drive a culture of continuous improvement and innovation within the

compliance function, leveraging technology, automation, and data analytics to

enhance efficiency, effectiveness, and scalability.

● Lead initiatives to streamline compliance processes, eliminate redundancies,

and optimise resource allocation, ensuring that compliance activities are

conducted in a cost-effective and sustainable manner.

● Encourage experimentation and creativity in exploring new approaches to

compliance risk management, encouraging team members to challenge conventional wisdom and embrace change.

10.Collaboration and Stakeholder Management:

● Liaise with internal stakeholders, including legal, compliance, risk

management, and business units, to ensure alignment on AML/CTF

initiatives.

● Provide compliance guidance and support to business units and functional

teams to ensure alignment with regulatory requirements and industry

standards.

● Serve as a point of contact for external stakeholders, such as regulators and

law enforcement agencies, on AML-related matters.

11.Thought Leadership and Professional Development:

● Stay at the forefront of developments in compliance, fintech, and related

fields, continuously expanding your knowledge and expertise through self-study, training, and participation in professional associations and conferences.

● Share insights and best practices with peers and industry colleagues through thought leadership articles, presentations, webinars, and other knowledge-sharing platforms.

● Mentor and coach junior members of the compliance team, providing guidance, feedback, and opportunities for professional growth and development.