Compliance Manager – FinTech

A Compliance Manager is required by an early stage FinTech that thanks to an enviable level of investment is now poised to enjoy considerable growth.

This is a standalone role reporting directly into the CEO, and one that has plenty of potential to develop into a Head of Compliance (& MLRO) position as the business grows. As such it represents a fantastic opportunity for a talented, ambitious individual.

Responsibilities will include

• Leading on all the various risk & compliance frameworks in the company
• Ensuring compliance with SMCR and our ongoing responsibilities under the certification regime
• Maintaining GDPR compliance, along with responding to requests
• Dealing with complaints, whilst managing the policies and procedures around these
• Overseeing and ownership of the AML/KYC processes for onboarding new clients
• Financial Promotions – review and sign off of material and marketing strategies, including digital distribution/social media
• Submission of Gabriel returns and responses to FCA questionnaires
• Submitting and maintaining applications to the FCA, building the documentation and regulatory content required to ensure success
• Training and supporting colleagues on key risks to the business – from data security to anti-money laundering
• Writing business policies and liaising across functions with senior management in all areas from advice, finance, operations and distribution
• Keeping up to date with changes in regulation from the FCA, ICO and other regulators, ensuring the business and cofounders are implementing any required updates to policies and processes

You will be an experienced Compliance professional with a proven track record of working with a FinTech or Financial Services firm during a period of significant growth. You will have experience of implementing and automating Compliance processes and procedures and must have strong working knowledge of FCA and AML regulations. Any previous experience of managing permissions and applications to the FCA would be advantageous but is not essential. Excellent communication and stakeholder management skills are a prerequisite for the role.


Salary:£60k - £70k + bonus + benefits


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