Compliance Officer

X4 Technology are partnered with a leading investment platform in Central London who are founded by a renowned entrepreneur. Their platform offers DIY and managed investment portfolio options including Exchange-Traded Funds with unmatched value, choice, insights and automation. As part of their continued growth journey, they're offering the opportunity for a Compliance Officer to join their team.The position will require an individual that wants to get stuck in all areas of compliance in a growing, innovative fintech business. You will assist with day to day compliance functions, advise the business on regulatory and form part of project groups in building and delivering new products and propositions.Responsibilities of the Compliance Officer includes:Handle day to day financial promotion approvals, complaint resolutions, transaction reviews and onboarding queriesComplete necessary sections of Regdata reports and Connect applications as neededImplement and carry out the Compliance Monitoring programme, including checks on best execution and financial promotionsHelp to drive the implementation of compliance controls and processes, ensuring adherence to FCA regulatory Compliance, AML/CTF and other regulationsRequirements of the Compliance Officer includes:3-5 years experience of generalist compliance experience in wealth management or investment managementKnowledge of the FCA handbook, HMRC ISA rules, JMLSG and GDPR guidanceOperational knowledge in building and running a compliance program and hands-on knowledge of UK regulatory requirementsThe ability to restructure complex problems, making them more manageable and to assist colleagues - with a service delivery attitude and a solution based mindsetThis role can be remote for the right candidate with occasional onsite visits when needed. The base salary ranges between £50,000 - £60,000 depending on previous experience. This will be a 2 stage process with interviews lining up as early as next week.If you have the necessary experience and would like to be part of a high-growth fintech, please apply for immediate consideration!Seniority levelSeniority level Mid-Senior level Employment typeEmployment type Full-time Job functionJob function Finance Referrals increase your chances of interviewing at X4 Technology by 2xGet notified about new
Compliance Officer
jobs in London Area, United Kingdom.
London, England, United Kingdom
1 day ago
Tottenham, England, United Kingdom
2 weeks ago
Head of Compliance and MLRO (Payments) – Part time and remote working
London, England, United Kingdom
3 days ago
Head of Compliance and MLRO (Payments) – Part time and remote working
London, England, United Kingdom
2 days ago
Compliance Training and Implementation Manager
London, England, United Kingdom
19 hours ago
Tax Compliance - Manager/ Snr Manager Hybrid or Remote
London, England, United Kingdom
1 week ago
Tax Compliance - Manager/ Snr Manager Hybrid or Remote
London, England, United Kingdom
1 week ago
London, England, United Kingdom
2 months ago
London, England, United Kingdom
4 weeks ago
Compliance Program Manager - Europe/APAC
London, England, United Kingdom
2 months ago
London, England, United Kingdom
1 month ago
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr