1st LoD Compliance Manager – FinTech

A 1st Line of Defence Compliance Manager is required by a rapidly growing FinTech business to provide core compliance advice and support to all areas of operations, but with a specific focus on client Onboarding. The business is geared for significant growth, both here and internationally, and hence this represents a fantastic opportunity.

Reporting into the COO, this is a hands-on role that whose responsibilities will include:

• Working freely and independently across the business with limited supervision to deliver world class First Line of Defence Risk & Compliance support
• Delivering professional advice to the business on key regulatory compliance and risk-related matters
• Acting as 1st LoD lead on ad hoc queries from the business
• Provide the Products team with support and on-going advice with any current and new product developments
• Ensuring transaction monitoring is looked at and any alerts investigated, as required
• Helping carrying out new client and supplier due diligence and resolve any arising questions
• Ensuring periodic reviews are performed and client KYC files are up to date
• Developing risk and compliance procedures in line with compliance policies
• Executing business risk assessment
• Managing risks in the business on a daily basis
• Acting as a bridge and facilitate an effective and balanced relationship between the 1st Line Business and 2nd Line Risk & Compliance Functions
• Maintaining an in-depth business insight and sufficient authority to support the front line of defence on risk and compliance-related matters, providing challenge where needed.

You will have experience in a broad, general compliance role, preferably within the 1st Line Of Defence, with particularly strong client onboarding experience including KYC and AML regulations. Previous hands-on experience in a FinTech or small Financial Services firm is essential, whilst any international exposure would be advantageous (but is certainly not essential). Superior communication and interpersonal skills are essential.


Salary:To £60k + bonus + benefits


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