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Senior Compliance Manager

Information About This Job

Job Title: Senior Compliance Manager
Location: London
Industry:
Contact Name: Josh Blosse
Contact Email: jblosse@lawsonchase.com
Job Published: about 1 month ago

Job Description

Our client, a new and innovative financial provider specialising in cryptocurrency and blockchain, is looking hire a Senior Compliance Manager to join their London based team.


 

About The Role

Your role will be to maintain and promote an effective compliance framework and high standards of legal and regulatory compliance, across all businesses lines and jurisdictions. You will advance and protect the vital interests and reputation of the firm and maintain a good knowledge of latest financial industry developments, and applicable legal and compliance requirements. You will fulfil the responsibilities of the firm’s Money Laundering Reporting Officer (MLRO) and Data Protection Officer (DPO)

You will lead the drive to automate compliance standards and control processes wherever possible, with a view to optimise for risk, cost and customer experience.

 

Key Responsibilities

  • Maintain a strong understanding of industry standards in all relevant areas of legal and regulatory compliance, with particular focus on areas of particular relevance to the firm such as customer and market conduct, financial crime, data protection, securities regulations, crypto-regulations, payments regulations

  • Maintain a good understanding of industry standards in enterprise risk management and governance

  • Advise ExCo and senior management on legal and compliance requirements and developments

  • Train and communicate all staff in risk and regulatory matters as appropriate

  • Design, document and maintain risk and compliance policies and procedures

  • Advise on and lead application for any required regulatory registrations

  • Maintain effective communication with regulators and compliance functions in partner firms

  • Evaluate the risks and effectiveness of risk control measures in business operations and outsourced processes

  • Evaluate the risks, suitability and appropriateness of current and new products and services

  • Maintain a risk register and systematic reporting of risks and control effectiveness to ExCo

  • Maintain and oversee effective processes for the reporting of any compliance failures or suspicious activity

  • reports to regulators as required

  • Maintain and oversee effective processes for customer complaints reporting and resolution

  • Maintain and oversee effective processes for whistleblowing by staff

  • Design and manage thematic risk and compliance projects as required

  • Support and advise on regulatory aspects of business or operational projects

  • Evaluate and risk assess vendors, outsourcing service providers and commercial partners

  • Act and fulfil the responsibilities of the firm’s Money Laundering Reporting Officer (MLRO) and Data Protection

  • Officer (DPO)

 

Skills & Experience

  • 10+ years hands-on experience in risk and compliance, in financial institutions

  • Deep working understanding of financial services regulations

  • Excellent written and spoken communication skills

  • Strong personal integrity, and ability to stand up for what is right

  • Curious, analytical and strong attention to detail

  • Hands-on experience of designing and automating processes

 

Bonus points for:

  • Experience of working in a startup environment

  • Product mindset

 

Person Specification

  • Excellent analytical and problem solving skills

  • Exceptional attention to detail

  • Excellent communication skills

  • Ability to perform under pressure

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  • Self motivated with great initiative

  • Strong personal integrity, and ability to stand up for what is right!

  • Highly curious with a passion for learning

  • Be comfortable with ambiguity

 

Company Benefits

  • Highly Competitive Salary

  • 25 days holiday allowance plus bank holidays

  • Training & Development Budget

  • Private Health Insurance

  • Pension

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  • Perkbox

  • Company maternity & paternity pay

  • Flexible Working Arrangements

  • Cool people, great office, remarkable vision!

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Ref: | Published: 20 Mar 2019