Compliance Officer

Job Description
About the company:
The company is an innovative player in the Fintech sector, aiming to revolutionize how individuals manage their finances and invest for the future. They steer away from speculative ventures like cryptocurrency and yesterday's tech giants, focusing instead on empowering real people to optimize their investments. Currently, they are seeking a dynamic Compliance officer to join their UK team.
This role demands an individual keen to immerse themselves in various compliance facets within a progressive fintech enterprise.
Roles & Responsibilities:
Assist
with everyday
financial
promotion
approvals
,
complaint
settlements
,
transaction
evaluations, and onboarding inquiries.
Complete
all
required
fields in
Regdata
reports
and
connect
applications
as required.
Establish and
carry out the Compliance Monitoring program
, which includes
monitoring financial promotions and optimal execution.
Keep
corporate policies
and
processes
up to date, and assist with regulatory training.
Keep up with
changes in regulations
and
incorporate
this information into business policy.
Have a
strong commitment to fintech compliance
and the ability to apply your skills and expertise to develop plans, make suggestions for improvements, and control risks.
Have a strong
commitment to fintech compliance
and the ability to apply your skills and
expertise
to
develop plans,
make
suggestions
for
improvements, and control risks.
Assist
in directing the
establishment
of
compliance
procedures
and
controls
,
guaranteeing
adherence to AML/CTF, FCA regulatory compliance, and other laws
.
Maintain
an efficient
compliance
framework
by working cooperatively with the Compliance team.
Collaborate
between
divisions
to
uphold compliance requirements
, including AML Finance, Risk, Product, Tech, and Sales & Marketing.
Encourage a culture that prioritizes compliance over the needs of the customer.
Support
the creation of
compliance
procedures
that meet legal and commercial requirements.
Encourage
risk-based compliance
initiatives
that safeguard customers and guarantee adherence to financial crime regulations.
Provide input on compliance-related reports for the Board and management, emphasizing any significant risks.
Expectations & Requirements:
Three
or more years of
experience
in a
buy-side investment business directly
related to
generalist
compliance and financial crime
.
Operational skills
in creating and managing a
compliance program and a practical
understanding
of
UK regulatory
criteria.
Possessing the necessary drive and determination to join a fast-growing start-up team where you will have the chance to have a big impact.
Familiarity
with the
FCA handbook, HMRC ISA regulations, JMLSG, and GDPR guidance
Flexibility and readiness in research using contacts in the industry and your knowledge to find answers in areas where you may not have prior experience.
The capability to simplify complicated issues and support peers with a service-oriented mindset.
Knowledge
of the
evolving regulatory environment
and the inquisitiveness to identify prospects in technological and
market advancements despite these shifts
.
Ideally
possess industry certifications
in
risk management
and compliance, or are pursuing them.
How You Can Apply:
You can apply directly or send us an email at #####