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    Compliance Officer - London, United Kingdom - X4 Technology

    X4 Technology
    X4 Technology London, United Kingdom

    1 day ago

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    Description
    Job Description

    X4 Technology are partnered with a leading investment platform in Central London who are founded by a renowned entrepreneur. Their platform offers DIY and managed investment portfolio options including Exchange-Traded Funds with unmatched value, choice, insights and automation. As part of their continued growth journey, they're offering the opportunity for a Compliance Officer to join their team.

    The position will require an individual that wants to get stuck in all areas of compliance in a growing, innovative fintech business. You will assist with day to day compliance functions, advise the business on regulatory and form part of project groups in building and delivering new products and propositions.

    Responsibilities of the Compliance Officer includes:

    • Handle day to day financial promotion approvals, complaint resolutions, transaction reviews and onboarding queries
    • Complete necessary sections of Regdata reports and Connect applications as needed
    • Implement and carry out the Compliance Monitoring programme, including checks on best execution and financial promotions
    • Help to drive the implementation of compliance controls and processes, ensuring adherence to FCA regulatory Compliance, AML/CTF and other regulations

    Requirements of the Compliance Officer includes:

    • 3-5 years experience of generalist compliance experience in wealth management or investment management
    • Knowledge of the FCA handbook, HMRC ISA rules, JMLSG and GDPR guidance
    • Operational knowledge in building and running a compliance program and hands-on knowledge of UK regulatory requirements
    • The ability to restructure complex problems, making them more manageable and to assist colleagues - with a service delivery attitude and a solution based mindset

    This role can be remote for the right candidate with occasional onsite visits when needed. The base salary ranges between £50,000 - £60,000 depending on previous experience. This will be a 2 stage process with interviews lining up as early as next week.

    If you have the necessary experience and would like to be part of a high-growth fintech, please apply for immediate consideration

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