Wealth Manager / Finance platform are looking for a Compliance Director with Minimum of 5 years Senior Compliance experience. You must have SMF 3, 16 and 17 to be considered. Previous Wealth or asset management is highly desirable, you must be fully aware of the key rules and regulations, namely but not limited to: Market abuse and trade reporting, Advisory and Discretionary Management, Best execution requirements and CASS Oversight requirements (CF10a in old money)
£85,000 - £110.000 + bonus + benefits
They are an award winning Wealth Manager / Finance platform are looking for a Compliance Director with Minimum of 5 years Senior Compliance experience. You must have SMF 3, 16 and 17 to be considered. Previous Wealth or asset management is highly desirable.
THE ROLE AND EXPECTATIONS
- To enjoy the responsibility of being a Compliance Director and utilises the FCA rule book to gain commercial advantage
- Ensure the business does not 'Foot Fault' with regulatory requirements
- Be fully aware of the key rules and regulations, namely but not limited to:
- Market abuse and trade reporting
- Advisory and Discretionary Management
- Best execution requirements
- CASS Oversight requirements (CF10a in old money)
- Being proportionate to implementing a Compliance Framework to a 'startup' Company and implement a monitoring regime which will improve customer experience, be commercially sensitive, reduces cost and risks to our business
- Passionate about fintech compliance, you will use your knowledge and experience to help formulate strategy, propose solutions and manage risk.
- Being a 'Champion' to prevent our customers and the business being used for Financial Crime activity with engagement of law enforcement agencies and industry peers
- A leader in product vision and marketing strategy through proactive engagement with the team members.
- Understand the importance of good FCA engagement in keeping them informed of developments through both Regulatory Reporting and ad-hoc notifications.
- Being part of the team delivering solution solving via expert advice and guidance.
EXPERIENCE AND SKILLS REQUIRED
- Be driven and determined to be part of a high-growth start-up team where you will have the opportunity to make a significant impact
- To be prepared and be flexible in research through, knowledge and using industry contacts, to find answers where you may not have previous experience
- Experience of working in financial services, ideally in D2C investment management, which will involve market abuse, best execution and the MiFID II requirements. With a sound knowledge of international expansions and pensions for UK investors
- Inspiring Leader of a team and influencer at all levels of an organization
- Deep knowledge of all areas of the FCA handbook and a good understanding of the HMRC ISA, JMLSG and GDPR guidance
- The ability to restructure complex problems, making them more manageable, and to assist colleagues - with a service delivery attitude
- Awareness of the changing regulatory landscape and the curiosity to find opportunities in technology, market developments, though these changes
- At least 5 years of directly relevant experience and held SMF functions previously
- Ideally have obtained industry qualifications relating compliance and risk management