Part-Time Compliance Director
Competitive Salary + Shares + Bonus
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.
- 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.
- 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.