Job Description
We are partnering with a high growth investment platform, who require a hands-on experienced compliance generalist for an initial 6 month period.
This will be a hybrid day rate role, based out of their office in the city. The contract will be outside of IR35 and the rate is in the region of £600 - £700 per day.
Responsibilities:
* Delivering high-quality compliance oversight and challenge to the business and acting as the central point of contact for any compliance-related issues
* Ensuring the firm’s policies and procedures are being communicated effectively across the organisation and employees are trained in appropriate compliance areas.
* Managing compliance systems and processes, across areas including AML, consumer credit and discretionary portfolio management. Proactively auditing these processes and providing ongoing assessments of areas for improvement
* Responsible for keeping up to date with regulatory developments, maintaining a strong relationship with the regulator and managing all reporting requirements.
* Review and sign-off financial promotions
* Submission of Regulatory Returns
* Collaborating with the product and development teams by providing compliance advice as we design and develop new products for the UK market
Requirements:
* Significant Compliance experience ideally within a MiFID Investment Firm or Savings business.
* A strong understanding of the UK regulatory environment for investment, banking, and consumer lenders, including AML, information/security, etc.
* Experience of working within a smaller agile firms or ideally within a fintech and demonstrable experience of working with product and technology teams.
* The ability to communicate effectively with key internal and external stakeholders, including the regulator.
* High levels of integrity and a commitment to the establishing and maintaining the highest ethical and professional standards
* Data protection experience/knowledge is preferred
* A compliance/financial crime qualification would be advantageous.
This is an urgent requirement, so please only apply if you can start immediately or within a matter of weeks.