Compliance Officer / Head of Compliance - FinTech

Twenty84 Ltd
United Kingdom
£75000-80000 + equity + benefits
04 Oct 2017
07 Nov 2017
Contract Type
Full Time
Our client is a highly innovative Fintech firm that delivers a market leading investment platform and has been growing significantly over the last 3 years. They now require a Compliance Officer / Head of Compliance to join the team and be pivotal to the development and implementation of their approach to risk and regulatory compliance. The role will initially be a sole role so will require a candidate who is able and excited by the prospect of operating with a great deal of autonomy and being the SME for compliance within the organisation. The position will act as an FCA Approved Person for the business performing initially the roles of MLRO (CF11) and CASS (CF10a) and key responsibilities will be: - Lead the formulation and delivery of regulatory compliance strategy, process and policies - Advise on the interpretation and application of the regulatory framework to the business - Carry out effective compliance monitoring - Act as a champion for good compliance and risk management across the business - Plan, prepare and conduct continuing compliance training for staff - Manage and ensure the delivery of effective and timely regulatory reporting - Keep the business informed regarding upcoming regulatory developments - Maintain effective relationships with regulatory bodies To be successful in this role you will need the following skills and experience: - Considerable experience in a compliance role in the financial services sector, preferably from fintech, start-ups, payments, investment management, or smaller banks etc - A broad and solid understanding of regulatory compliance e.g. MiFID, MiFID II, CASS, AIFMID, financial crime / AML etc - Solid experience of compliance monitoring, implementing compliance policies and leading staff training programmes - Great communication skills and adept at building relationships at all levels In return the Compliance Officer / Head of Compliance will receive a salary of £75,000-£80,000 + equity + benefits
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