Compliance Manager – FinTech

A Compliance Manager is required by an exciting early stage FinTech to build out the Compliance frameworks, policies and procedures as well as a small team, with the prospect of becoming the Head of Compliance in the near future. This is a London-based role with the opportunity to work from home 3 days a week. YOU MUST HAVE PREVIOUS COMPLIANCE EXPERIENCE WITHIN A FINTECH FIRM TO BE CONSIDERED FOR THIS ROLE.

Reporting into the COO, your responsibilities will include

• Designing and implementing a robust compliance framework and oversee the recruitment of a small Compliance team
• Owning, developing and executing a proportionate risk-based compliance monitoring program
• Developing and maintaining best-in-class control mechanisms to continuously and proactively review and document the firm’s compliance as a consumer lending regulated business
• Investigating and escalating any major compliance concerns to Senior Management when required, recommending remediation actions and enhance existing processes accordingly
• Working with internal teams (e.g. Product, Operations, Engineering, Risk and Finance) to support the compliance requirements and end-to-end implementation of new features, new products, and strategic initiatives, as the compliance subject matter expert
• Taking ownership of compliance due to diligence assessments from key potential partners, suppliers and regulators
• Monitoring, identifying, interpreting and documenting laws, regulations, guidelines and other regulatory requirements applicable in the UK, covering domains such as AML, KYC, Risk Management, Business Continuity and more
• Analysing the current customer complaint process, establishing policies and procedures to improve it, and auditing complaint responses to ensure appropriate categorisation, escalation, and resolution
• Preparing and delivering engaging, relevant and practical training on compliance topics across all teams
• Maintaining awareness of industry trends on regulatory compliance, emerging threats and appropriate steps to mitigate the risks

To be considered for this excellent opportunity you will be an experienced Compliance specialist with broad compliance exposure, including experience of Financial Crime Compliance management. You must have previous FinTech experience, and you will also have a proven track record of implementing Compliance frameworks, policies and procedures. Any previous managerial experience would be advantageous.


Salary:£55k - £70k + equity


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