- Provide advice to the business on BAU issues and in the context of new product lines and services.
- Take a leading role in priority business and compliance projects, providing regulatory direction, insight, context and challenge.
- Lead compliance monitoring and testing exercises to ensure that the business is operating in line with regulations and the firm's policy
- Provide training on regulatory issues to all business areas
- Work with colleagues across the business to prepare for and respond to regulatory change and regulatory engagement
- Execute ongoing Compliance processes and controls
- Take a leading role in the Global Compliance function, providing guidance and oversight to more junior colleagues in the UK, Sweden and Hungary.
- You have excellent knowledge of UK financial services regulations and knowledge of a range of financial products, including retail investment products.
- You have experience of working in or with UK retail financial services regulated firms, ideally with a retail broking or wealth management business.
- You learn quickly and have strong analytical skills, and will be able to point to good examples of where you have been able to make a quick and material impact.
- You understand the Consumer Duty and the regulator's expectations of firms in respect of it, and you will ideally have some direct experience of engaging with the regulator.
- You will likely have some experience managing individuals either in a management role or through project leadership positions.
- You will be fluent in English, with excellent written and verbal communication skills.
- Ability to build relationships and influence colleagues
- You will have 4 - 7 years experience at a retail investment firm or bank, the regulator or a large consultancy in a role with a heavy regulatory / compliance focus
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Senior Compliance Specialist - London, United Kingdom - Molten Ventures plc
Description
Senior Compliance Specialist
Department: Risk & Compliance
Employment Type: Permanent - Full Time
Location: London
Compensation: £47,000 - £70,000 / year
Description
Senior Compliance Specialist
London
At Freetrade, we believe investing should be accessible to everyone. It's one of the best ways to grow your savings but, for many, it seems complicated, expensive, and out of reach.
We're here to change that.
We're a technology company that brings simple investing to everyone. We've built a beautiful app to buy and sell shares and ETFs in a fluid, mobile-first experience.
We're building a team with diverse and unique perspectives in order to help us on our mission to demystify investing.
Our goal is to help our customers achieve better, long-term financial outcomes.
In 2024, we'll be launching across the EU, following our successful launch in Sweden. We'll also be transforming our product, developing new features and introducing new products. In the UK, we now have over 1.6m registered users, offering a range of products like the Freetrade Pension, a stocks and shares ISA, and our premium plan, Freetrade Plus.
Our growth has all been possible because of the backing of a passionate group of over 15,000 crowdfunding investors. As we've scaled, we've also raised money from world-class growth investors including Left Lane Capital, Molten Ventures, and L Catterton.
We are looking for an exceptional Senior Compliance Specialist to join our team. You will work closely with all areas of our business to provide general Compliance advice, support the development of new products, work on projects, execute compliance processes and undertake compliance monitoring and testing. Our team's key objective is to help the business move forward and be successful in a way that is compliant with regulations and leads to good outcomes for its clients. We are a young, growing company and the Compliance team needs to cover a wide range of businesses and technical regulatory topics in a fast paced environment.
You will:
About you:
Benefits:
We offer a competitive salary plus stock options and lots of other benefits .
You'll have a stake in the company you're building, with stock options benchmarked to US companies.
We are an Equal Opportunity employer committed to a diverse and representative team. Whatever your race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability - we want to hear from you. We're very open about what we're working on, and the best places to learn more are our buzzing community forum and our blog.
To find out more about how we look after your personal data when you apply for a job with us, please see our Recruitment Privacy Policy here.
Please note we are not accepting agency CVs.
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