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Deputy Compliance Director

SRM RECRUITMENT LIMITED
Job LocationLondon
EducationNot Mentioned
Salary£80,000 - £100,000 per annum, negotiable
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

Our client is an award winning PE backed fintech, who provide an investment platform service to large number of investment and wealth managers. With an enviable client portfolio, our client offers a comprehensive whole-of-market, custody, trading, technology and back-office outsourcing service.Using bespoke software with an experienced operations team, our client offers a tailored solution for the investment/wealth industry and their clients. Authorised and regulated by the FCA, and taking on all CASS responsibilities, their client portfolio has grown rapidly over the last two years, enjoying double digit growth. As a result, we are seeking to hire a Deputy Compliance Director, to support the business as it expands, and to eventually succeed the Compliance Director, ultimately taking on SMF16/17.This is wide ranging compliance role within a Model B clearing firm, key responsibilities will include:

  • Maintaining FCA compliance across the business, and that it is perceived in a positive manner by the FCA
  • Ensuring the business and its customers (Wealth Managers & IFAs) follow the relevant regulation requirements
  • Meeting prospective new clients and ensuring smooth onboard in conjnuction with CEO and commercial teams
  • Reviewing and updating policies (where necessary)
  • Risk Management
  • Transaction reporting
  • AML
  • CASS
  • Acting as the go to person within the firm for any compliance related issues
    • Applicant Requirements
  • Must have extensive compliance experience, with senior management responsibility from either a private client Wealth / Investment Manager, or similar retail/wealth platform provider or the wealth arm of an investment bank
  • Must have good interpersonal skills, with energy and enthusiasm to support the business as it grows
  • Emotional intelligence to operate across all levels of the business, including operations, clients and members of the Board.
  • Aspiration to succeed the current Compliance Director at some point in the future
    • If you have not received a reply within 7 days please assume your application has not been successful.

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