Senior Compliance Manager

Our client is a Fintech in the securities finance space established over 20 years ago. With offices in London and New York and aspirations to expand further globally, they are searching for an experienced Compliance professional to assist their growing business.

This is a broad role advising on all compliance matters, and integral to the our client’s Compliance function being an effective second line of defence.

This is a full-time role, but we are open to considering it on a part-time basis (4 days per week) for someone who could hit the ground running and is able to successfully carry out the role in fewer days.

What will the role involve?

• Contributing to the design and maintenance of a robust risk and control framework;
• Hold Senior Management Functions (SMF 16 & 17) and manage the relationship with the FCA in a transparent and proactive manner including accurate and timely submissions of regulatory filings;
• Advise the Senior Management Team in relation to matters concerning regulated activities and regulatory risks;
• Provide periodic reports/management information to the Executive Committee and support the GC and CFO with the preparation of periodic compliance/risk reporting at Board level;
• Working closely with Legal, provide day-to-day compliance advice to business and support functions, liaising with external professional advisors where required;

What technical skill-sets are we looking for?

• Demonstrable experience at an FCA regulated financial services firm (sell-side, buy-side or market infrastructure);
• In-depth and practical working knowledge of the FCA Handbook;
• Solid understanding of current and evolving regulation in the UK, EU and US (in particular DORA, UK CTP, SFTR/SEC 10c1a, CSDR, MiFID and GDPR);
• Strong academic record – a degree in finance, business or law (desirable);
• Professional compliance qualification (preferred but not essential).

This role sits in a collaborative and entrepreneurial award-winning company who offers a hybrid working policy, flexibility around working hours, competitive base salary with an annual discretionary bonus, pension and a good benefits package.

Platform Migration Consultant

Client Director

Manager, Finance