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Compliance officer

Employer
Jameson Legal.
Location
UK
Salary
Competitive
Closing date
30 May 2021

View more

Sector
Legal
Contract Type
Permanent
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Job Details

A leading crowdfunding platform is looking for a hands-on compliance professional to join their growing risk and compliance team. This will be a varied and wide-ranging compliance role, with exposure right across the business.

Role Responsibilities:
  • You will be responsible along with the rest of the compliance team to promote a strong compliance and conduct culture across the business.
  • You will be a point of contact across the business for compliance advice, including financial promotions, complaints, regulatory change and client money and assets.
  • You will manage the compliance monitoring programme and work with the team to perform compliance monitoring activities across the business. This will mean you need to develop a commercial understanding of each team and communicate effectively with people in other business functions.
  • You will support the Compliance Director in maintaining the relationship with the regulators by completing FCA reporting, working with the company's certified employees, and keeping up with regulatory updates.
  • You will provide compliance and regulatory training across the business.
  • You will lead/assist with new regulatory projects impacting the business, such as responding to changes in the crowdfunding and investment regulatory regimes.

Required Experience:
  • Strong experience of working within financial services in a compliance or regulatory consulting capacity.
  • The ability to apply your regulatory knowledge and compliance experience to collaborate with teams across the business in identifying solutions.
  • Knowledge and understanding of FCA requirements for an investment business, specifically in relation to NNRS and NMPIs, CASS, financial promotions, SMCR, and other areas of COBS. Please note that this is not an AML compliance role.
  • A genuine interest in the industry and an enthusiasm for the changing landscape of alternative finance and how that is regulated.

For a confidential chat about this or other roles he is handling please contact Matt Pollard in the Jameson Legal London office.

Jameson Legal acts as an employment business for temporary recruitment and as an employment agency for fixed term contract and permanent recruitment.

To view a list of other current job opportunities, please visit
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