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Senior Compliance Officer

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

We are recruiting for a fast-growing Fintech company that is looking for a Senior Compliance Officer to join their business in a role that reports directly to the CEO. This is an excellent opportunity for an ambitious individual to step in to the Head ofCompliance role in due course.Main Responsibilities

  • Work with external support to ensure compliance with changing FCA requirements and data protection legislation through the implementation of robust policies, procedures, and controls
  • Carry out routine and thematic compliance monitoring in order to adhere and test compliance in the Company
  • Manage & maintain the Companys current compliance monitoring system; assess the groups compliance training requirements and support the organisation to deliver appropriate training at various levels
  • Review new business initiatives and ensure they comply with the regulatory requirements and internal policies or standards
  • Review and maintain group-wide policies and documentation with up-to-date regulatory obligations, and develop new policies and governance documents as applicable
Job Requirements:
  • Minimum of 8 years FCA compliance experience, preferably from the wholesale environment
  • Good understanding of the FCA rules specifically in relation to MIFIDPRU, ICARA, Trading Venues, Market Abuse, COBS, Financial Promotions, Consumer Duty and CASS
  • General familiarity with US/ UK cross-border compliance issues in the broker dealer space (preferable but not required)
  • Excellent communicator in both oral and written ability, and able to juggle deadlines while delivering to a high standard
The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannotreply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.#LI-DR1

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