A rapidly growing fintech company is looking for a Head of Compliance to join their business in a newly created role as part of their next step in their growth plans. Exciting opportunity for someone looking to join a fast-paced environment in a role you can add your own stamp to. May appeal to an individual looking to make their first move holding SMF 16 & 17.
- Act as the company’s senior compliance officer and collaborate closely with the Chief Compliance and Legal Officer to achieve our strategic compliance objectives
- Ensure that the company has appropriate systems and controls in place that meet FCA regulatory requirements and enable it to conduct its activities both lawfully and ethically
- Addressing requirements of local regulators across the firm’s geographical spread, liaising with third party compliance providers on firm activity outside of the AMF regulatory framework
- Providing advice to marketing, sales, operations and trading, regarding applicable laws, rules, regulations and the firms policies and procedures
- Drafting and reviewing policies and procedures resulting from regulatory changes
- Drafting and issuing of anti-financial crime policies and procedures
- Actively participate as a member or Chair of the compliance committee and other senior management committees as required
- Minimum 5-10 years’ experience working in compliance of financial services, bank or investment services companies with a deep understanding of financial markets and foreign exchange
- In depth understanding and working knowledge of the UK and USA financial services regulation, including Market Abuse Regulation, Markets in Financial Instruments Directive II regulatory environment and PSD2
- The ability to interpret, understand and advise all levels of seniority in the business of an appropriate course of action on a broad range of legal and regulatory provisions.
- Excellent communication skills, both written and verbal, and the ability to work closely with colleagues and counterparties.
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