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Risk & Compliance Manager

  • Location

    West End, London

  • Sector:

    Operations & Middle Office

  • Job type:

    Permanent

  • Salary:

    £55000 - £65000 per annum

  • Contact:

    Scott Duerden

  • Contact email:

    scottd@kennedypearce.com

  • Job ref:

    SDRCMOW01_1614604183

  • Published:

    8 months ago

We have an exciting opportunity for an experienced Risk/Compliance Manager to work directly with the founders of a rapidly expanding Fintech business. This role will excite those who wish to take a senior position and grow their career within a fast growing business, where they will be required to get involved in all areas of risk and compliance, helping us build the vital structures that will enable us to scale.

This role will suit highly driven candidates who are willing to roll their sleeves up and get stuck in, take on new challenges and learn fast. They should already have strong and varied foundations in risk/compliance, but wish to further develop their knowledge and experience, aspiring one day to be heads of compliance within a large and fast paced organisation.

The role will be hugely varied, at times scrappy and at times strategic - one thing is certain: no two days will be the same.

Key Responsibilities:

  • Leading on all the various risk & compliance frameworks in the company
  • Working independently across complex and impactful business problems
  • Ensuring compliance with SMCR and our ongoing responsibilities under the certification regime
  • Maintaining GDPR compliance, along with responding to requests
  • Dealing with complaints, whilst managing the policies and procedures around these
  • Overseeing and ownership of the AML/KYC processes for onboarding new clients
  • Cyber security and governance frameworks
  • FinProms - review and sign off of material and marketing strategies, including digital distribution/social media
  • Submission of Gabriel returns and responses to FCA questionnaires
  • Submitting and maintaining applications to the FCA, building the documentation and regulatory content required to ensure success
  • Compliance oversight for the delivery of regulated financial advice
  • The regulatory requirements for evolving investment services
  • Training and supporting colleagues on key risks to the business - from data security to anti-money laundering
  • Writing business policies and liaising across functions with senior management in all areas from advice, finance, operations and distribution
  • Communicating with key stakeholders across the start-up and wider organisation
  • Creating reports for the co-founders and board
  • Reviewing contracts and ensuring appropriate due diligence on counterparties (e.g. suppliers)
  • Disaster recovery and business continuity planning
  • Ensuring terms of business, disclosure documents and statements are valid and up to date both for advice and digital services
  • Strategic planning with senior management team
  • Keeping up to date with changes in regulation from the FCA, ICO and other regulators, ensuring the business and cofounders are implementing any required updates to policies and processes

Required:

  • Entrepreneurial mindset. We're a growing start-up looking to change an industry, where innovative thinking and a relentless determination to succeed is key
  • Excellent attention to detail and delivery of work to a very high standard
  • Ability/enthusiasm to work autonomously
  • Very strong knowledge and understanding of the laws and regulations that apply to financial firms in the UK, our regulated activities, along with other more general legal and risk considerations for growing tech firms
  • Demonstrable practical experience of dealing with regulatory compliance and the application of FCA rules and guidance i.e. MIFID, SMCR
  • Prior experience working in a compliance role for UK regulated financial firms (5+ years)
  • Ability to think outside the box and provide creative solutions
  • Integrity - our client deal with highly confidential and personal data every day, so the team need to have the highest standards

Desirable:

  • Experience creating and executing business process improvements
  • FinTech experience
  • Experience in managing firm permissions and applications to the FCA
  • Experience in a scale-up business (0-100 employees)
  • A degree in Law or Finance, or an MBA
  • Experience of the financial advice sector, industry qualifications, or if not a willingness to study and learn

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