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Senior Compliance Manager – Fin Tech financial institution

  • Location

    London

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £70,000 - £80,000

  • Consultant:

    Kirstie Burn

  • Email:

    kburn@merje.com

  • Job ref:

    KBU/15850

  • Published:

    about 1 month ago

This innovative and successful Credit Broker and Credit Information Services Provider is where fresh ideas are 
encouraged, employees are trusted to work autonomously and take responsibility and all work in a truly 
collaborative environment.
 
This is a newly created role to support the growth plans of the business, reporting into the General Counsel 
and sitting as part of the Legal and Compliance team, this role purpose is to design, develop and deliver the 
correct frameworks to deliver a robust and commercial compliance function to the business.
 
Key responsibilities include:
• Implementation of the overall compliance framework
• Designing and implementing process and policy to ensure that there is effective oversight of the regulated business
• Making compliance processes part of the DNA of the business
• Designing and delivering appropriate staff training
• Liaising with the in-house legal team and external DPO on data protection matters
• Monitoring compliance with existing policies and processes
• Supporting the General Counsel and senior management in the assessment of regulatory risk
• Designing and maintaining appropriate management information for board reporting
• Managing ad hoc compliance projects such as SMCR or obtaining new permissions
• Supporting the Customer Success team, as required, with complaints handling
• Product Governance – assisting the design / tech team on product development with regulatory  and compliance guidance
• Designing and delivering a compliance monitoring programme 
• Horizon scanning – building an external profile and using external forums and networks to learn about future developments in the sector and regulatory environment
 
The Person 
• A seasoned compliance professional with the ability to design frameworks
• You believe innovation and compliance are not mutually exclusive
• You have a track record of influencing people and changing behaviours, acting as a role model in the business
• You are serious and focused with an understanding of enterprise and regulatory risk
• Positive and enthusiastic about the business
• Ability to give compliance advice and guidance
• Strong Compliance Monitoring skills
• Broad knowledge of consumer credit and / or credit broking
• Understanding of FCA framework and oversight requirements
• Strong stakeholder management skills
 
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.