Our client, a privately owned fast-growing fintech company providing Platform, MPS and financial planning solutions firm is looking to recruit an experienced compliance professional, ideally with a minimum of 4 years relevant experience and a background within financial advisor/ planning and platform operations.Reporting to and working alongside the Head of Compliance, they are looking for interesting people with at least:

• 4 years (or more) of compliance experience, specifically within financial advisor/ planning and platform operations.
• DFM/ MPS experience
• FCA reporting experience

You must be willing and able to embrace the pace of an early-stage company and be able to distil all things compliance into something that is easy to understand, engaging and relevant to your audience.

Responsibilities

Working closely with the Platform Operations and Adviser Success teams, undertaking:

• Due diligence of KYC protocols, sanctions and financial crime screening
• Due diligence of AML screening and Anti-Terrorism red flags and anomalies
• Data gathering and analysis;
  • Complaints monitoring and reporting
  • Model and re-balancing errors and reporting
  • Conflict monitoring and reporting
  • Gift and inducements monitoring and reporting
• Regular platform operational compliance data gathering and reporting;
  • Assisting with trades error reporting
  • Assisting with payment errors
  • Assisting with receipt errors
  • Seeking additional information/confirmations from advisers where necessary
• Risk management reporting;
  • Assisting with ICARA assessment
  • Monitoring of Reg Cap

Working alongside the Head of Compliance:

• Supporting across all areas within the Risk and Governance responsibilities[1] [2] ;
  • Assisting the investment team with review of product governance
  • Review of Fair Value Assessments
  • Maintaining policies and procedures
  • Assisting with ICARA review
• Developing and delivering refreshing compliance content to internal and external stakeholders.
• Partnering with our Growth, Adviser Success and Investment teams to ensure we stay on the front foot of best practice and regulatory matters.
• Supporting ad-hoc projects

This is a broad and exciting role with an excellent, rapidly expanding firm. It is home based with the option of going to their office in London on an as and when basis.