Compliance Manager

A Compliance Manager is required for an early stage FinTech operating in the Wealth Management / Retail Trading arena as a result of continued growth. This role can be worked fully remotely or you will have access to the firm’s offices in London and the Midlands if you wish. How you split your time between home and the office will be entirely up to you. PLEASE ONLY APPLY IF YOU HAVE STRONG COMPLIANCE EXPERIENCE IN A WEALTH MANAGEMENT OR RETAIL TRADING ENVIRONMENT

Reporting into the Compliance Officer, your responsibilities will include

• Acting as Second Line of Defence Lead on all regulatory, compliance and risk projects
• Delivering professional advice on key regulatory compliance and risk-related matters with the ability to conclude on the level of compliance with regulatory matters as part of oversight activities
• Be policy owner for all risk and compliance-related policies with accountability for risk and compliance policy implementation across the business
• Overseeing and ownership of the AML/KYC processes for onboarding new clients
• Support with senior management engagement as and when required, through presentation of advice and reporting to Senior Management Committees
• Managing and delivering FCA regulatory reports within specified deadlines
• Managing submissions to the FCA on all areas of regulatory compliance
• Training and supporting colleagues on key risks to the business – from data security to anti-money laundering

You will be an experienced Compliance professional with strong experience of either wealth management or retail trading. You will have an excellent working knowledge of FCA, AML and GDPR regulations, and will ideally have experience of MiFID II, MAR and/or PRIIPs. Any previous experience of CASS rules and regulations would be advantageous. In addition, you will possess excellent communication and interpersonal skills and have the ability to work with, and challenge, a wide variety of stakeholders both within the business and externally.

Location:East Midlands

Salary:£40k - £65k + benefits


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