Director of Compliance

1 month ago

London Area, United Kingdom Birchlake Recruitment Full time

We are delighted to have been given the mandate to work with a London based FinTech client on an exclusive basis, to assist them in appointing a Director of Compliance.




This individual will be responsible for leading the compliance function of their UK operations, including conducting reviews to evaluate the firm’s compliance with applicable laws and regulations and ensuring that control gaps are adequately escalated and mitigated through remedial actions. In addition, the you will be responsible for establishing best practices for their global operations.



Their platform is used by 1000+ dealers at 85 financial institutions worldwide. Over recent years, they have raised more than $30m in equity funding from global financial institutions and VCs to fuel their global expansion.



This newly created role will give you the opportunity to:



  • Build the compliance operations, including the selection of relevant vendors and creation of appropriate policies and processes;
  • Conduct reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements;
  • Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations;
  • Determine the root cause of issues and develop effective remediation plans to mitigate the risks;
  • Drive implementation of local regulatory change/remediation projects and initiatives.



What they require:



  • 7+ years of industry experience within institutional broker-dealer activities;
  • Previous experience with a broker is required;
  • Previous experience of being an SMF16 officer (Compliance oversight) and SMF17 officer (MLRO) is preferred;
  • Prior experience within the securities financing industry is a plus;
  • Strong analytical, writing, and presentation skills;
  • Highly motivated, proactive individual who has demonstrated the ability to take initiative, identify issues, propose solutions, and implement change;
  • Strong attention to detail, balanced with a strong focus on execution and results;
  • Self-starter, able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting;
  • Excellent communication skills.



If you meet the above criteria and are curious to learn more about this Director of Compliance vacancy then please submit your CV for consideration right away

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