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Head of Compliance
2 months ago
Are you interested in joining a rapidly growing EMI?
This is a newly created position in a rapidly growing EMI in the Payments space. Here you will be have the opportunity to utilise your regulatory expertise to define and implement a regulatory compliance program inclusive of frameworks, strategy, regulatory advice and overall oversight from the 2nd line.
This is a fast paced, highly entrepreneurial environment so is ideally suited to someone with excellent communications skill and able to translate complex regulatory matters to a broad audience within the business.
Responsibilities and Duties
- Providing compliance leadership and guidance as an independent 2nd line regulatory and conduct advice, oversight, and assurance subject matter expert for the firm.
- Ensuring the companies compliance with the FCA rules and regulations, alongside any other applicable legislation
- Ensure all regulatory reporting is accurate, complete and submitted in a timely manner.
- Secondary contact for regulatory bodies
- Review and maintain existing comprehensive and effective compliance policies and procedures, and create new ones where required.
- Development of the compliance plan
- Develop of the (non-financial crime) compliance plan and associated processes
- Development of compliance MI
- Identifying situations that may pose significant compliance and conduct risks and ensure that you guide the Leadership team in the development / reviewing of applicable policies, marketing materials, procedures, and business practices.
- Providing compliance sign-off on internal and customer documentation, marketing, and financial promotions.
- Responsible for identification, impact analysis and oversight of implementation of regulatory changes
As Compliance Director & MLRO your responsibilities will include:
- Act as Compliance specialist across the full spectrum - Advisory, Monitoring and Regulatory
- SMF 17 – MLRO
- Own safeguarding challenges to the business
- Submit and be the main point of contact with the FCA
- Be solutions orientated – finding/implementing solutions across the business
You should apply for the Compliance Director & MLRO position if you:
- Demonstrable E-Money Institution, Payments Institute experience Mandatory
- Issuing/Acquiring Experience
- Senior stakeholder engagement – be a clear communicator at executive level.
What’s next?
If you are interested in the Compliance Director & MLRO position, then send your CV to me directly at Jim.C
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