We are seeking a London based Compliance Officer to join an innovative investment management firm.
About The Company
The company helps people protect and increase their wealth through time. Launched in 2012 and headquartered in the UK, they make investments simple and accessible through an advanced technology platform and a team of incredible portfolio managers and investment consultants.
Regulated by the FCA, their approach to investment combines human empathy and financial expertise with the efficiency of technology to deliver cost-effective advice and investment solutions to it's users. The firm is a fast growth company with more than 80,000 active users and a strong backing from private equity and corporate investors that helped secure close to US$30 million in capital.
About The Role
The company now is looking for an experienced Compliance Officer to join their London team and take ownership of all compliance and regulatory functions within our European operations.
The Compliance Officer will play a vital role in ensuring that company project cycles are always maintained within the FCA and RDR best practices.
It’s imperative that you have a keen eye for detail so you can analyse and advise business wide and ensure that everything remains legally and regulatory compliant.
- Responsible for the Compliance Monitoring Programme, including testing, results analysis, identifying improvements or remedial actions and presenting findings to senior management
- Assisting management in develop and implement the Risk Management Programme including organizing analysis, performing audits and recommendations for risk mitigation
- Client account monitoring processes for AML and market abuse.
- Reviewing and signing off financial promotions and other marketing material in accordance with FCA rules and internal policies
- Liaison with firm’s external compliance consultants
- Maintaining the UK Compliance Manual and ensuring the effective implementation of company compliance policies and procedures
- Working with other team members to manage the customer complaints process and providing assistance where appropriate to resolve outstanding issues
- Assisting with enquiries from the FCA, the Financial Ombudsman Service and other relevant UK and overseas authorities, in consultation with the CEO and the Chairman, external compliance consultants and legal counsel as appropriate
- Maintaining the FCA Approved Persons register entries for the company on an up to date basis
- Working with other members of the team to keep abreast of regulatory changes such as EMIR, FATCA and MiFID II, helping to identify how these changes impact the company and working to ensure that the firm remains compliant with the new legislation
- Overseeing investigations of breaches or alleged breaches of regulations and/or company compliance policies, standards or procedures
- Working closely with HR to provide, or make arrangements for, compliance training for company staff as appropriate to include Anti-Money Laundering, Market Abuse, Treat your Customers Fairly and Complaints Handling
- Administering the Personal Account Dealing policy
- Carrying out any further tasks for which the qualifications and experience of the Compliance Officer are suited.
- 5 years + experience within Financial Services Compliance or Legal functions
- CF10, CF11 qualification
- Understanding of UK regulatory landscape ideally from working within Wealth Management / Stockbroking
- Understanding of corporate Law
- Previous compliance monitoring, financial crime and financial promotions experience is essential
- Experience producing compliance policies and processes
- Excellent Communication Skills
- Problem Solver
- Passion for Finance Technologies
What The Company Offers
Incredible Spaces and International team: This is a company with global flair. From their beautiful open plan office in the heart of London, to their modern office in Milan, to their seaside loft in Sardinia, the firm believes workspace is an essential part of creating an amazing office culture.
Bonus Plan: The company is offering bonuses to outstanding team members to say thanks for a job well done.
Fee-free Investment Account: The company believes it should be the first users of it's own products. Every employee is given their own fee free investment account and it will always be free.
Eats and Treats: Fresh fruits, premium teas, espresso machines and afternoon beer breaks. The company prides itself in doing what they can to keep their team members happy, healthy and well fed.
Investing in you: The company believes that lifelong learning is key to personal and collective growth. That’s why team members often give talks and teach each other. They also host external guests to give presentations on different topics and industries and offer opportunities to team members for professional development.