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My Client is a FinTech startup operating in the personal investment space. They are looking for a Head of Compliance that is still in the learning stage of their career who is capable of building out a compliance department. Key responsibilities will be financial promotions, onboarding and new product launches. The products on offer are ISA's and pensions but the key requirement is for the candidate to be tech savy and passionate about a new way of banking.
Job brief We are looking for an ambitious and capable individual to lead our Compliance function and assume the CF10 position. You'll report directly to the co-founders and board, and ensure high standards are kept at all times as we grow to become the UK's leading wealth building and management platform. This could be an amazing opportunity to step out of your current role as Head of Compliance or Deputy Head of Compliance at a leading institution.
What you'll do ● You'll lead interaction with the FCA, including applications for new permissions and variations of existing permissions. ● You'll lead, manage and improve the existing Compliance Monitoring Program, involving co-ordination and communication across cross-functional teams. ● You'll be responsible for compliance training across the organisation. ● You'll maintain and improve the existing suite of Policy documents and communicate these within the organisation. ● You'll work closely with the marketing team to ensure requisite checks are carried out on all financial promotions. ● You'll be responsible for complaints handling and general 'escalated' customer interactions. ● You'll work closely with the Customer Delight and Tech Product team to improve customer experience and to make compliance monitoring more accurate and efficient. ● You'll carry out various other ad hoc activities required to ensure that we're fully compliant with existing and new regulations. ● You'll contribute to feasibility and delivery work on all new strategic initiatives. The right candidate may also take on certain internal CoSec and legal responsibilities.
What we're looking for ● A driven, ambitious individual who's looking to build their career at an exciting very-fast-growing company. ● Experience working closely with senior business leaders, and approaching Compliance with a strategic and commercial mindset. ● A naturally personable, great communicator who has a passion for their work and the people they work with. ● Someone who's really excited about being part of a fast-growing company that's trying to make a positive mark on the world. Experience and skills ● Experience in the practical application of financial services and general company regulation, including the FCA Handbook (particularly CASS), MiFID II, Senior Managers Regime, anti-money laundering, data protection and information security. ● Experience with ISA and pension products would be advantageous. ● A track record of excellence and progression within your existing organisation. ● Ability to work well both individually and as part of a team. ● Good analytical and problem-solving skills ● A 'high-output do-er' with a desire to work in a fast-paced, fast-changing start up environment