Part-Time Compliance Director

Central London

Competitive Salary + Shares + Bonus

The Role:

A small, disruptive Fin Tech Investment Start-up in Central London are looking for a Compliance Director to join their team. You will be required to hold Control Functions CF1, CF10 and CF11. The firm itself was founded by a serial entrepreneur and is backed by an award-winning investment management firm. It has recently been authorised by the FCA and is due to launch soon.

This is a fantastic opportunity to join a newly authorised organisation and for you to take the Compliance regime forward into the live environment.

The role is anticipated to initially be 2 days per week, most of which will involve you working from home, and there is a generous package including share options and bonuses on offer.

Key Responsibilities:

  • Work closely with the management team, providing advice and answering queries on policies, procedures and controls.
  • Maintain the Compliance manual and related procedures, providing training when required.
  • Work with the existing CF10a to oversee CASS.
  • Conduct and support Compliance risk assessments.
  • Provide guidance to business management on changes in the regulatory environment.
  • Assist with projects for the expansion of product offerings to support the wider business goals.
  • Review marketing materials and website copy for Compliance.
  • Other duties and ad-hoc projects as required.

Job Requirements:

  • At least 5 years' experience in a Compliance role, ideally in investment or asset management, specifically in the robo advice arena.
  • Previous MLRO experience
  • In-depth knowledge of equity markets, products and trading procedures
  • Knowledge and experience of GDPR
  • Superior working knowledge of the FCA handbook and experience conducting audits
  • Hold a degree/post grad diploma relating to Financial Services regulation.