I’m working exclusively with an International Digital Banking and Asset Management FinTech start-up to recruit the firm’s first Head of Compliance & MLRO (SMF16 & SMF17). The business is highly ambitious and has plans to expand operations in the UK, Europe and the Middle East. The role is London-based with the flexibility to work from home 2-3 days per week.
Your responsibilities will include
- Leading on the firm’s authorisation and licence applications processes with the FCA and other international regulatory bodies
- Building out a high calibre Compliance and Financial Crime team for the firm
- Facilitating the development of a culture that is conducive to minimising the risk of regulatory failure
- Managing the firm’s relationship with the FCA
- Acting as a trusted advisor and partner to the business while at the same time providing robust challenge to ensure that the firm stays within the bounds of its risk appetite
- Working with operational areas to develop proportionate risk-based policies and procedures designed to minimise the risk of breaches of legal and regulatory requirements
- Ensuring policies and procedures and clearly communicated and understood throughout the firm
- Overseeing the operation of the firm’s approved persons and training and competence regimes including coordination of compliance and induction training to new joiners
- Providing an advisory service to the business in relation to regulatory and compliance matters
- Overseeing implementation of Anti-Money Laundering ("AML") and Countering Terrorist Financing ("CTF") policies and procedures
- Monitoring the day-to-day operation of the firm’s AML/CTF policies and procedures including in relation to development of new services, taking-on new customers and changes in the business profile
- Responding to requests for information from the FCA and other regulators and law enforcement agencies
- Conducting an annual money laundering risk assessment in relation to the firm’s business
To be considered for this excellent opportunity you will have held a similar position previously (with SMF16 and SMF17 responsibility) and have strong asset management, banking, consumer or SME lending experience. You will ideally have worked in an international business and gained experience of cross-border compliance. Any previous experience of working directly with European regulators would be advantageous but is not essential. You must have previous managerial experience, whilst any experience of licensing / authorisation applications is desirable.
- Asset Management
- Financial Services
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