Responsibilities:
- Oversee internal Compliance framework as well as policies and procedures
- Give insight across a broad range of regulatory topics
- Find practical compliance solutions on a number of regulatory topics
- Conduct client calls to discuss Compliance tasks and monitor their conduct
- Manage the ongoing compliance monitoring plan for a portfolio of clients
- Collate Compliance requests and discuss issues to the committee
Requirements:
- Significant experience working in an FCA compliance environment with a good understanding of the financial services industry
- Good knowledge of investment products/markets
- Strong knowledge of the e-money regulatory space
- Strong knowledge of relevant compliance frameworks and practical procedures
- Proven ability to lead manager level teams and interact effectively with senior clients
- A significant working knowledge of the FCA Handbook, JMSLG and Money Laundering directives
- Desire to work in an dynamic, fast-moving and entrepreneurial environment
- Bachelors degree or similar Regulatory qualification