Jobs
>
London

    Compliance Officer - London, United Kingdom - FinTop Consulting

    FinTop Consulting
    FinTop Consulting London, United Kingdom

    1 week ago

    Default job background
    Description

    Job Description

    About the company:

    The company is an innovative player in the Fintech sector, aiming to revolutionize how individuals manage their finances and invest for the future. They steer away from speculative ventures like cryptocurrency and yesterday's tech giants, focusing instead on empowering real people to optimize their investments. Currently, they are seeking a dynamic Compliance officer to join their UK team.

    This role demands an individual keen to immerse themselves in various compliance facets within a progressive fintech enterprise.

    Roles & Responsibilities:

    • Assist with everyday financialpromotionapprovals , complaintsettlements , transaction evaluations, and onboarding inquiries.
    • Complete all required fields in Regdatareports and connectapplications as required.
    • Establish and carry out the Compliance Monitoring program, which includes monitoring financial promotions and optimal execution.
    • Keep corporate policies and processes up to date, and assist with regulatory training.
    • Keep up with changes in regulations and incorporate this information into business policy.
    • Have a strong commitment to fintech compliance and the ability to apply your skills and expertise to develop plans, make suggestions for improvements, and control risks.
    • Have a strong commitment to fintech compliance and the ability to apply your skills and expertise to develop plans, make suggestions for improvements, and control risks.
    • Assist in directing the establishment of complianceprocedures and controls, guaranteeingadherence to AML/CTF, FCA regulatory compliance, and other laws .
    • Maintain an efficient complianceframework by working cooperatively with the Compliance team.
    • Collaborate between divisions to uphold compliance requirements, including AML Finance, Risk, Product, Tech, and Sales & Marketing.
    • Encourage a culture that prioritizes compliance over the needs of the customer.
    • Support the creation of complianceprocedures that meet legal and commercial requirements.
    • Encouragerisk-based complianceinitiatives that safeguard customers and guarantee adherence to financial crime regulations.
    • Provide input on compliance-related reports for the Board and management, emphasizing any significant risks.

    Expectations & Requirements:

    • Three or more years of experience in a buy-side investment business directly related to generalistcompliance and financial crime .
    • Operational skills in creating and managing a compliance program and a practicalunderstanding of UK regulatory criteria.
    • Possessing the necessary drive and determination to join a fast-growing start-up team where you will have the chance to have a big impact.
    • Familiarity with the FCA handbook, HMRC ISA regulations, JMLSG, and GDPR guidance
    • Flexibility and readiness in research using contacts in the industry and your knowledge to find answers in areas where you may not have prior experience.
    • The capability to simplify complicated issues and support peers with a service-oriented mindset.
    • Knowledge of the evolving regulatory environment and the inquisitiveness to identify prospects in technological and market advancements despite these shifts.
    • Ideally possess industry certifications in risk management and compliance, or are pursuing them.

    How You Can Apply: You can apply directly or send us an email at

  • United Trust Bank

    Compliance Officer Compliance

    2 days ago

    United Trust Bank London, United Kingdom

    **Responsibilities** · - Maintain and execute the Compliance Monitoring Plan, by conducting thematic and area specific reviews against KPI's; provide output in the form of written reports, suggesting severity of issue/s found, remedial actions, timescales and monitoring for closu ...

  • Career Legal

    Compliance Officer

    1 week ago

    Career Legal London, United Kingdom

    Job Details · Compliance Officer · Up to £45,000pa + Benefits · London, Permanent · International Law Firm · My client, a top international law firm, is actively recruiting for a risk and compliance professional to join them on a permanent basis in London - working as their new C ...

  • PineBridge Investments

    Compliance Officer

    1 day ago

    PineBridge Investments London, United Kingdom

    PineBridge Investments is seeking a Compliance Officer to join its EMEA Compliance team and assist with the execution of its compliance program and support PineBridge's financial crime prevention framework. This role will be based in PineBridge's London office and report into the ...

  • Oliver James Associates

    Compliance Officer

    4 days ago

    Oliver James Associates London, United Kingdom

    **Job Title**:Compliance Officer · **Duration**:12 months · **Rates/Salary**:£75,000-90,000 FTC plus 17.5% bonus · **Location**:London based (2-3 days in office per week, plus home working) · **The Role**: · - Ensuring that the Advisory and Assurance Compliance function within th ...

  • eFinancialCareers

    Compliance Officer

    1 week ago

    eFinancialCareers London, United Kingdom

    An exciting opportunity has come up with an international (multi product) Broker/Trading business, who are looking for someone to join their Compliance team in a broad and generalist compliance role based in London. · The role will involve working closely with the front desks, op ...

  • Barclay Simpson

    Compliance Officer

    2 days ago

    Barclay Simpson London, United Kingdom

    **Compliance Officer**: · - London · - £400 - £500 Per day · - Job type: Contract · - Sector: Financial Services · - Job reference: MPC41130 · - Advising on domestic compliance rules and regulations · - Conducting compliance monitoring reviews · - Engaging in trade surveillance a ...

  • Talent Race

    Compliance Officer

    1 week ago

    Talent Race London, United Kingdom

    We are currently recruiting for a Compliance Officer to join a leading Healthcare Recruitment organisation based in Central London. · This is a fantastic opportunity for an experienced professional to join an established organisation and become part of a team that is responsible ...

  • eFinancialCareers

    Compliance Officer

    1 week ago

    eFinancialCareers London, United Kingdom

    **PART TIME COMPLIANCE OFFICER (2 DAYS P/WK)** · Temporary (8 months maternity cover) · **The Company**: · Our client is a Fintech start-up, who is a specialist provider of carbon data, analytics, insight and financial products that enable financial institutions to achieve both f ...

  • eFinancialCareers

    Compliance Officer

    1 week ago

    eFinancialCareers London, United Kingdom

    Job Summary · - London · - Permanent · - JN · - Feb 20, 2023 · - £50k - £55k · **Job Description**: · Our client are a leading Global Asset Manager who are looking for a compliance officer to join the growoing compliance team · To assist the Compliance Monitoring team with the e ...

  • MDM Consultants Ltd

    Compliance Officer

    1 week ago

    MDM Consultants Ltd London, United Kingdom

    Are you an experienced Compliance professional who desires to join a well-established and forward-thinking buy side/asset management firm as part of their growing Compliance team? · **Senior Compliance Officer / Compliance Officer** · **Location**:London (Flexible Working / Hybri ...

  • Transport for London

    Compliance Officer

    1 day ago

    Transport for London London, United Kingdom

    **Organisation** · - Road Network Compliance · **Job** · - Administration · **Position Type** · - Full Time · **Job Title** - Compliance Officer · **Salary **- £31,250 · **Pay Band** - Band 2 · **Location **- Palestra · **Contract Type** - TfL Permanent · **Working Pattern** - 35 ...

  • MS Amlin

    Compliance Officer

    2 days ago

    MS Amlin London, United Kingdom

    About the Job · The Compliance Officer will form part of MS Amlin Underwriting Limited's (MS AUL) Compliance function. The role holder will support the delivery of the function's Compliance plans, including supporting the work undertaken by the team in respect of financial crime ...

  • Red Snapper Recruitment

    Compliance Officer

    3 days ago

    Red Snapper Recruitment London, United Kingdom

    **COMPLIANCE OFFICER** · Reporting to the Compliance and Operations Supervisor, the Compliance Officer is responsible for the administration of the business's compliance requirements. You will support the compliance function by ensuring all associated processes are followed and r ...

  • Young Wellbeing Hub

    Compliance Officer

    4 days ago

    Young Wellbeing Hub London, United Kingdom

    CAMHS Professionals are the leading specialist staffing provider within children's mental health, located in the vibrant community of Hackney Wick. · We are seeking an organised, and self-efficient individual to join our close knit team as the new Compliance Officer where you wil ...

  • Australasian Recruitment Company

    Compliance Officer

    3 days ago

    Australasian Recruitment Company London, United Kingdom

    **Compliance Officer** · **Salary: £25,000 - £28,000** · **Responsibilities**: · - Ensuring checks are performed on qualifications, Teacher Reference Numbers, ID documents and the applicant's visa status · - Ensuring the full process of checking and vetting documents is completed ...

  • CBCX Group Limited

    Compliance Officer

    1 day ago

    CBCX Group Limited London, United Kingdom

    **Position Summary** · CBCX Group Limited is seeking a motivated and detail-oriented Compliance Officer to join our team. This role is essential in ensuring our company operates within the boundaries of regulatory requirements and maintains the highest standards of integrity and ...

  • Certus Sales Recruitment

    Compliance Officer

    4 days ago

    Certus Sales Recruitment Greater London, United Kingdom

    **Compliance Officer - Cloud Technology** · **London / Norwich - Hybrid** · **40-45k Base + Executive Benefits** · Our client's award-winning hybrid cloud connectivity platform provides the link between traditional networking infrastructure and cloud services. This trailblazing c ...

  • iProov

    Compliance Officer

    1 week ago

    iProov London, United Kingdom

    Compliance (Projects) Officer · If you'd like to make the online world a safer place, come and join us. · **About iProov**: · iProov is the world leader in face biometric verification. We establish trust in remote users and deliver effortless, customer centric, device independent ...

  • Page Personnel HR

    Compliance Officer

    1 week ago

    Page Personnel HR London, United Kingdom

    Based near excellent transport links, in leading London School Federation, an exciting opportunity for a Compliance Officer to help out in head office. · **Client Details** · A leading London School Federation. · **Description** · The main responsibilities for the Compliance Offi ...

  • eFinancialCareers

    Compliance Officer

    1 week ago

    eFinancialCareers London, United Kingdom

    Our client is a successful global alternatives asset manager. They are hiring a London based Compliance Officer with a focus on supporting on their FATCA and CRS regulations. · Key responsibilities: assist in the development and maintenance of the firm's FATCA and CRS responsibil ...