Compliance and Supervision Manager
As part of continued growth and success, a fintech-focused consultancy firm is looking for an experienced compliance manager to assist with the following;
- Advise stakeholders on regulatory obligations and FCA requirements in line with different clients across corporate finance, p2p lending, consumer credit, crowd-funding and more
- Recommend and implement changes to strategy/plans/programmes and policies
- Supervisory visits to clients as appointed representative firms
- Provide audit reports and perform relevant checks
- Financial Promotions approvals, Financial Crime prevention policies, Conflicts of Interest, staff training and more
Ideal candidates will have strong background and understanding of;
- Investments, Fintech, Compliance Advisory/Oversight/Monitoring/Supervision of regulated investment firms
- FCA handbook (SYSC, COBS, RAO etc) and other regulatory processes including AML and Audit
- Strong communication skills and stakeholder management experience
Type: Permanent, full-time
Location: London, City
Salary: GBP50k base + benefits
Please note, all applicants must be eligible to work in the UK without visa sponsorship as this will not be provided on this occasion.