Regulatory Compliance Manager

Seedrs LimitedOld Street, Londona month ago

What you'll do 🚀

This is a varied role which will provide you with exposure to all areas of the business and relevant regulations:

  • You’ll work with the rest of the Compliance team to maintain a strong conduct culture across the business.
  • You’ll be a key point of contact across the business for compliance advice, including financial promotions, complaints, regulatory change and client money and assets.
  • You’ll manage the compliance monitoring programme and work with the team to perform compliance monitoring activities across the business. This will mean you need to develop a commercial understanding of each team and communicate effectively with people in other business functions.
  • You’ll deliver regulatory and compliance training across the business that will focus on various teams, products and regulations. You will take the findings from your compliance monitoring activities to determine training needs.
  • You’ll support the Compliance Director in maintaining our relationship with the regulators by completing FCA reporting, working with the company’s certified employees, and keeping up with regulatory updates.
  • Support our People Team in maintaining compliance with SMCR.
  • You’ll lead on new regulatory projects impacting the business, such as responding to changes in the crowdfunding and investment regulatory regimes.
  • You’ll support our Product, Design and Development Teams in ensuring new and existing products are both compliant and able to optimise their impact within regulation.

Who we’re looking for 💪

You will have had 5 years experience within a financial services business, or you may have provided a consulting service to a business requiring financial compliance advice. We’re looking for:

  • A self-starter and a problem-solver - we want you to be able to use your initiative to improve inefficiencies in the compliance function.
  • The ability to apply your regulatory knowledge and compliance experience to collaborate with teams across the business in identifying solutions.
  • Knowledge and understanding of FCA requirements for an investment business. Specifically in relation to NNRS and NMPIs, CASS, financial promotions, SMCR, and other areas of COBS. Please note that this is not an AML compliance role.
  • Experience of working in a professional environment.
  • Someone with a genuine interest in the industry and with an enthusiasm for the changing landscape of alternative finance and how that is regulated.
  • Excellent analytical skills and comfortable working with numbers, you’re not afraid of spreadsheets. Experience with Looker is a bonus.
  • Fluent in English with excellent writing and communication skills.
  • Adaptive to a fast-paced and dynamic environment, you will be able to manage your own time, and work on a number of projects and tasks simultaneously.

Interview process ✍️

  • 30 minute chat with Compliance Director
  • Technical assessment
  • 1 hour interview
  • Final interviews including culture interview with the People Team

Salary and benefits 🎉

  • You'll be working for one of the hottest startups in Europe with a top notch team. We don't compromise when it comes to hiring.
  • Competitive salary.
  • Employee share options.
  • Money to invest through the platform.
  • 25 days annual leave and Flexi Fridays.
  • Personal Wellness allowance.
  • Individual Learning & Development budget.
  • Access to our Healthcare Cash Plan programme.
  • Discounted Cushon ISA account.
  • Professional development.
  • Lunch and learn sessions.
  • Enhanced maternity/paternity/adoption pay.
  • Enhanced Pension package.
  • Company offsites and Team socials.
  • Great offices with free fruit, coffee and Friday drinks!

Subscribe to Job Alerts

All Categories