We are partnering with a high growth investment platform, who require a hands-on experienced compliance generalist for an initial 6 month period. Start-up/Fintech experience is crucial.

This will be a hybrid day rate role, based out of their office in the city. The contract will be outside of IR35 and the rate is in the region of £600 - £700 per day.

Responsibilities:

• Delivering high-quality compliance oversight and challenge to the business and acting as the central point of contact for any compliance-related issues
• Ensuring the firm’s policies and procedures are being communicated effectively across the organisation and employees are trained in appropriate compliance areas.
• Managing compliance systems and processes, across areas including AML, consumer credit and discretionary portfolio management. Proactively auditing these processes and providing ongoing assessments of areas for improvement
• Responsible for keeping up to date with regulatory developments, maintaining a strong relationship with the regulator and managing all reporting requirements.
• Review and sign-off financial promotions
• Submission of Regulatory Returns
• Collaborating with the product and development teams by providing compliance advice as we design and develop new products for the UK market

Requirements:

• Significant Compliance experience ideally within a MiFID Investment Firm or Savings business.
• Must have start-up/FinTech experience
• A strong understanding of the UK regulatory environment for investment, banking, and consumer lenders, including AML, information/security, etc.
• Experience of working within a smaller agile firms or ideally within a fintech and demonstrable experience of working with product and technology teams.
• The ability to communicate effectively with key internal and external stakeholders, including the regulator.
• High levels of integrity and a commitment to the establishing and maintaining the highest ethical and professional standards
• Data protection experience/knowledge is preferred
• A compliance/financial crime qualification would be advantageous.

This is an urgent requirement, so please only apply if you can start immediately or within a matter of weeks.