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Senior Risk/Compliance Specialist

Digital Appointments
Closing date
20 Sep 2021

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Technology & New Media
Contract Type
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An opportunity has arisen to join a fintech based international stock exchange, based near Edgware (North West London) that hosts a number of Appointed Representatives across various sectors of the financial and business sectors. In addition, you will be able to provide compliance and legal services to Tokenise, which is a revolutionary new asset stock exchange.

Thye are looking for a financial services lawyer or someone with significant industry experience, that is looking to make a move to platform that is pioneering making capital markets more accessible. The business already has operations globally and a strong network with local regulators, which means we are incredibly well-positioned to take advantage and become the leading platform to facilitate the SME sector. There are a number of new products being developed which will further allow us to stand out as an innovative solution in a market that has not been disrupted by technology.

They are looking for an ambitious, entrepreneurial lawyer/compliance officer that is looking to use their legal knowledge in a very commercial way. You will be dealing directly with the founder of the business as it goes through this exciting period of funding and growth.

They are offering the right candidate a competitive salary (£80,000 - £100,000) bonus potential is offered and equity options in the business that if successful would result in a life-changing capital payment on a liquidity event.

An entrepreneurial, commercial/regulatory lawyer or highly experienced compliance manager should see this as a unique / potentially once in a lifetime opportunity.

Your responsibilities will include:

· Overseeing the compliance and legal function

· Being a point of contact for new enquiries, and assisting existing clients

· To take on the SMF 16/17 functions

· Using the FCA Connect system to on-board new clients and personnel, including higher risk and more complicated applications

· Arrange and attending (where applicable) compliance review meetings and handling all associated administration

· Training clients on the use of our internal systems, procedures and software

· Arranging the collation of all data to submit applications to the FCA, including using the due diligence tools available to us.

· Assist in the submission and collation of information for firms requiring full FCA authorisation

· You will also be responsible for ensuring our compliance software is kept up to date and assist in building our training modules

· Ensure all staff/CF personnel complete training and maintain staff training and compliance records

· Review financial promotions as required.

· Risk management and control of our Appointed Representatives trading positions.

· Responsible for helping build the risk management platform and maintenance of the platform

· Client file reviews

· Mini compliance Audits

· Compliance consultancy and understanding of the FCA rules, COBS, SYS, SUPs etc.

Your excellent communication skills will help you build strong relationships with clients, potential sales enquiries and the small team of senior management. You will need to possess excellent organisational and time management skills to facilitate the timely completion of all assigned tasks.

This is a very hands-on role and will offer the right candidate a chance to develop, attend courses and potentially travel.

How to Apply

If this role is of interest and you would like to learn more please attach your CV
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