Head of Compliance
We are currently looking for a Head of Compliance, with responsibility for the CF10, and CF11 roles, and overseeing the training and competency regime of the firm. Our small team has led our Platform to become Europe's most downloaded RoboAdvisor, this is a rare opportunity to further develop the Compliance Department of a Digital Wealth Manager with awesome technology and key partnerships.
- The main purpose of the role will be to hold the positions of CF10, CF11, with responsibility for developing and maintaining the compliance and financial crime framework and strategy for the firm.
- You will be expected to provide proactive advice, direction and guidance from a compliance and financial crime perspective, and to participate in the setting of goals and objectives for the company.
- Other duties of the role will include managing and developing the internal compliance function and external compliance advisors, ensuring they are supporting the investment management business in conducting all business activities in accordance with core values, FCA rules, principles or best practice. This will include rules, principles or best practice of any other regulatory or Government body which impact our business.
- Develop and enhance the company's compliance culture as well as organizing compliance education and training on regulatory developments, AML and KYC etc.
- Experienced as a Compliance Officer, MLRO or Deputy MLRO having gained sufficient Compliance, , AML and KYC experience within financial services and/or payments companies.
- Experience building and maintaining relationships with regulators and have gained good exposure to dealing with government agencies across Europe.
- Wider international experience and understanding of EU financial services passporting is a bonus (i.e., EMEA)
- Experience working in a principal and appointed representative/tied agent arrangement.
- Experience of authorisation / change of scope of permission processes.
- Success managing people and possess strong operational and project management skills.
- An entrepreneurial spirit is essential for this role as this will be a hands on position and you will be expected to scale-up and manage a team of compliance professionals.
- Autonomous and the ability to develop and manage a talented and experienced team in an industry that is continually growing and moving forward
This is an excellent opportunity for the right candidate to join an exciting startup in a role holding large responsibility where you will become a senior member of the firm and be involved in major company decisions and the direction of the firm as a whole.