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Compliance Manager

BBBH2515_1551203118
£80000 - £90000 per annum


FourthLine are exclusively representing an up and coming financial technology provider as they look to hire a Compliance Manager to their expanding London operation. The company has gone from strength to strength over the past two years offering services such as peer to peer lending, pre-paid card services, currency exchange and much more. They continue to grow across Europe and have plans to offer services in North America.

Joining the Group Compliance team, you will have specific responsibilities for the wealth and trading products. You will become the CF10 for this particular area of the business. Working very closely with the Head of Group Compliance and the Head of Wealth and Trading, you will take ownership of:

  • Designing, amending and implementing relevant policies and procedures for the wealth and trading arm of the business
  • Review and sign off of financial promotions and other marketing materials.
  • Horizon scanning and providing recommendations to the wider compliance and legal team about potential changes needed within the firm.
  • Working closely with the Head of Trading and Wealth to design and get regulatory approval for new products



To be considered for this position you must have:

Legal qualification in the UK
Knowledge and experience of regulations and compliancebest practice that apply to retail investments products, ideally stock brokerage or wealth management

You will ideally have:

Experience working for a compliance consulting firm or a FinTech Provider
Tech or digital background, and able to work with various digital platforms
Previous experience as a CF10 would be ideal, but in no way essential.

To find out more about the firm and the role, please contact Robert Morrison on 0203 800 1547

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This job has now been filled but you may be interested in:

 

Head of Compliance - London - Up to £95,000

£75000 - £95000 per annum competitive benefits package.

Fourthline are working with our long-standing client, a well-established International Bank in their search for a Head of Compliance. The role will be based in the City of London and will involve managing a team of three compliance professionals, as well as regular liaison with senior stakeholders, company leaders and regulatory representatives.

The ideal candidate will have:
* Broad experience, gained from working within a Banking environment;
* A good understanding of MCOBs, CONC and Regulatory Compliance regulations;
* Experience of people management and senior stakeholder management;
* The experience and ability to guide the business on new and upcoming regulations, including conducting thematic reviews and ongoing reports and presenting these to various areas of the business.

If you'd like to discuss this role in more detail, please get in touch with your most recent CV to arrange a time to speak.

MINIMUM Salary

£ k