Human Capital Partners are partnering with a high growth Fintech business to recruit their Senior Compliance Associate.
Our clients risk department is organised around five principal risks (Regulatory Risk, Operational Risk, Financial Crime, Data Protection, and Legal) and is led by the Chief Risk Officer (SMF16/17).
The focus of this role is to oversee the embedding and ongoing development of the risk management framework and supporting processes within the first line of defence, with a particular focus on regulatory risk and assurance and providing an appropriate balance of support, guidance, and challenge to achieve regulatory compliance and good customer outcomes. You will also be required to support the Head of Compliance & Operational Risk on matters of regulatory importance, complexity, and sensitivity.
Key responsibilities:
1. To provide challenge, advice, and guidance to the first line in relation to new and existing products and services, ensuring compliance with the necessary regulatory requirements.
2. To provide oversight and assurance to key first line activities that impact customer outcomes and compliance with the relevant regulation.
3. To escalate issues to senior management in a timely manner to reduce risk and losses as much as possible.
4. To act as an advocate for compliance with all legal, regulatory and company standards and promote a positive risk culture within the first line of d...