Chief Compliance Officer – Fintech / Consumer Credit

London (Central), London (Greater)
£130,000 – £160,000
18 Oct 2018
17 Nov 2018
Job Function
Experience Level
Executive, Management, Officer
Contract Type
Full time, Permanent

Our client is looking for a Chief Compliance Officer to join their team.  This role reports directly to the CEO and the Board of Directors.  This individual will be responsible for managing the company’s compliance responsibilities.

The ideal candidate will understand how to manage and mitigate compliance risks within a fintech consumer lending environment. We are looking for someone who has an entrepreneurial mindset and a proactive attitude, focused on finding workable solutions with a keen awareness and understanding of the wider business, economic and regulatory environment.


  • Provide compliance oversight, advice and guidance to all areas of the business relating to FCA
  • regulation and Central Bank of Ireland regulation, applicable industry codes and guidance
  • Prepare the Annual Compliance Plan and ensure effective reporting to the Executive and the Board throughout the year
  • Review the existing policies, procedures and processes to ensure that they are appropriate and kept up to date, including those relating to Data Protection and AML
  • Oversee the delivery of appropriate Compliance Training for employees, Executives and the board throughout the year
  • Responsible for ensuring that business operations are conducted in line with the applicable compliance regulations, guidance and internal policies and procedures
  • Provide support to senior managers on compliance matters
  • Review and evaluate existing products, new products, promotional campaigns and product feature launches to ensure compliance with law
  • Maintain and promote our culture of Treating Customers Fairly, and report on the effectiveness of TCF KPIs to the Executive and the Board
  • Engage with third party compliance auditors
  • Manage relationship with Regulators including the FCA and Central Bank of Ireland

Key Competencies:

  • Strong compliance experience in Consumer Finance, with knowledge of Financial Services Laws and experience of the regulatory frameworks including FCA and  other relevant regulatory bodies
  • Experience in a fintech business is preferable
  • Consumer credit / lending experience
  • Experience in compliance monitoring, oversight, reporting and MI analytics
  • Execution-focused, with intellectual strength and the flexibility to quickly metabolise complex issues and provide workable solutions
  • Ability to work across our technology, credit and operations teams to ensure compliance with Law and effective monitoring at an early stage of product/feature development and for the entire lifecycle of the product
  • Excellent communication and influencing skills, with the ability to deal with complex issues and Projects, whilst managing multiple (and potentially conflicting) stakeholder requirements and teams in numerous jurisdictions
  • Ability to manage and lead a team effectively
  • Must have acted as an FCA Approved Person, or demonstrate the ability to qualify as a Senior Manager under pending FCA regulations

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