Interim Compliance Officer and MLRO
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Added before 1 Days
- England,London,City of London
- Full Time, Permanent
- Competitive salary
Job Description:
We are partnering with a high growth investment platform, who require a hands-on experienced compliance generalist for an initial 6 month period.
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.
*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.
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.
*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.
Job number 3425639
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