Senior Compliance Manager
Category: Compliance & Risk
This is a brilliant opportunity to join a forward thinking, enthusiastic and passionate team in the FinTech sector. You’ll support the CEO/COO and the board to ensure effective control and compliance with all regulatory aspects relating to the company’s business.
This is a start-up company, which means the Platform and supporting services are being built from scratch therefore making this a great chance for you to build and maintain the company’s regulatory controls and functions from a completely blank canvass and really make this role your own.
The company use technology to improve the way people receive financial advice. To do this, they’re building a web-based investment platform, designed specifically for financial advisers and their clients. Over 85% of the investments recommended by financial advisers in the UK are now delivered via investment platforms. Yet the majority of the platforms are still reliant on software and processes that aren’t capable of supporting today’s technology. This is why they’re starting from scratch, developing a modern platform that is as efficient as possible.
Using your solid compliance and risk experience, you’ll need to be strong, competent and 100% confident in your own abilities to deliver against set milestones. This will be a varied & challenging position at Executive level, with CF10 and CF11 status when the platform applies for Part IV regulatory authorisations. This is an amazing opportunity to really make a difference and build clean and compliant services untainted by legacy issues. Services will be fully automated with straight through processing and an appetite to embed compliance and governance along the way, the intention being its self-regulating.
This role will also see you building a compliance team over time, so good people-management & leadership skills are also required.
- Up to £60,000 pa
- Equity stake in the business – this ensures everyone benefits from the success of the company
- Free parking at the office premises, or close by
- 8% non-contributory Pension scheme
- Top level Group BUPA health cover
- Group death in service of at least 4 x salary
- Group PHI cover of up to 75% of salary due to long term sickness
- An array of snacks (healthy and unhealthy on the snack table)
- Flexible working environment and hours
- Discretionary Bonus
- Casual attire
If this interests you and you’d like to find out more, please apply now or call Jess Wood on 0117 962 5005; a full and detailed role profile is available - we can then discuss your career aspirations in more detail and ascertain if this is an opportunity you'd like to explore further.
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