Compliance Officer & MLRO – Fintech Start-Up (Banking Or Asset Management Experience Required)
Our Client, a FinTech start-up business, are looking to appoint their first Compliance Officer. It is envisaged that the successful person will be registered as CF10 and CF11 within 6 months of starting. As such, you will need to demonstrate the technical compliance ability and personal desire to quickly step into this senior role and add value to the growth of a start-up business. Reporting to one of the Managing Partners, duties will include:
• Overseeing the CDD/KYC/AML/CTF/ABC policies and procedures and act as Money Laundering Reporting Officer (MLRO);
• Work with the business to develop compliance procedures and controls, and provide commercially-orientated compliance advice;
• Ensure compliance with Data Protection legislation;
• Development, management and execution of the compliance monitoring programme;
• Development and management of the risk management framework;
• Sign off on financial promotions
• Responsible for regulatory reporting, i.e. GABRIEL reports.
• Ongoing close review of all legislative, regulatory and corporate governance developments or changes that might affect the company and its operations.
• Assist the Managing Partners with the recruitment and take on of new staff, including pre -employment screening processes, and induction of new staff.
• Opportunities available to be involved in other aspects of the business as it grows.
The successful candidate is likely to have gained at least five years experience within the compliance function of another regulated financial services business, preferably would be banking or asset management. While you will need strong knowledge of the FCA Rules including the Money Laundering section of the System and Controls Sourcebook, JMLSG and other relevant financial crime legislation, more important will be your drive to work with this exciting entrepreneurial FinTech start-up and to grow with them.
While the business is run by a group of very successful serial entrepreneurs and has very good financial backing, like any business in the start-up phase costs are a major factor, thus whilst my client is looking for an experienced and ambitious compliance officer they are restricted to a maximum base salary of £85K per annum.
That said, this is an excellent opportunity to join a very entrepreneurial business at an exciting time of their growth and development in a very visible and responsible role. Should you feel you have the experience and above average communication and technical skills to be success in this role, then please contact Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to email@example.com
Symes Collins – Part of the Compliance Recruitment Solutions Group
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