Compliance Officer

Full Job Description

About the company:

The company is an innovative player in the Fintech sector, aiming to revolutionize how individuals manage their finances and invest for the future. They steer away from speculative ventures like cryptocurrency and yesterday's tech giants, focusing instead on empowering real people to optimize their investments. Currently, they are seeking a dynamic Compliance officer to join their UK team.

This role demands an individual keen to immerse themselves in various compliance facets within a progressive fintech enterprise.

Roles & Responsibilities:

• Assist with everyday financial promotion approvals , complaint settlements , transaction evaluations, and onboarding inquiries.
• Complete all required fields in Regdata reports and connect applications as required.
• Establish and carry out the Compliance Monitoring program , which includes monitoring financial promotions and optimal execution.
• Keep corporate policies and processes up to date, and assist with regulatory training.
• Keep up with changes in regulations and incorporate this information into business policy.
• Have a strong commitment to fintech compliance and the ability to apply your skills and expertise to develop plans, make suggestions for improvements, and control risks.
• Have a strong commitment to fintech compliance and the ability to apply your skills and expertise to develop plans, make suggestions for improvements, and control risks.
• Assist in directing the establishment of compliance procedures and controls , guaranteeing adherence to AML/CTF, FCA regulatory compliance, and other laws .
• Maintain an efficient compliance framework by working cooperatively with the Compliance team.
• Collaborate between divisions to uphold compliance requirements , including AML Finance, Risk, Product, Tech, and Sales & Marketing.
• Encourage a culture that prioritizes compliance over the needs of the customer.
• Support the creation of compliance procedures that meet legal and commercial requirements.
• Encourage risk-based compliance initiatives that safeguard customers and guarantee adherence to financial crime regulations.
• Provide input on compliance-related reports for the Board and management, emphasizing any significant risks.

Expectations & Requirements:

• Three or more years of experience in a buy-side investment business directly related to generalist compliance and financial crime .
• Operational skills in creating and managing a compliance program and a practical understanding of UK regulatory criteria.
• Possessing the necessary drive and determination to join a fast-growing start-up team where you will have the chance to have a big impact.
• Familiarity with the FCA handbook, HMRC ISA regulations, JMLSG, and GDPR guidance
• Flexibility and readiness in research using contacts in the industry and your knowledge to find answers in areas where you may not have prior experience.
• The capability to simplify complicated issues and support peers with a service-oriented mindset.
• Knowledge of the evolving regulatory environment and the inquisitiveness to identify prospects in technological and market advancements despite these shifts .
• Ideally possess industry certifications in risk management and compliance, or are pursuing them.

How You Can Apply: You can apply directly or send us an email at