Head of Compliance - eFinancialCareers : Job Details

Head of Compliance & MLRO (US Fintech startup) – MTF/OTF Compliance Experience Required

Ref: 4082G

£120K + Bonus & Benefits                              London

Our Client, the UK start-up of a successful US Fintech, is looking to hire a Head of Compliance & MLRO who will be the UK SMF16 and SMF17 for their newly Authorised UK business, providing expertise in compliance and risk management with a particular focus on the regulatory requirements for fair and orderly trading and transparent order execution. The individual will also support the groups global compliance and risk function and report to the US based CRO and UK Board. Duties will include:

• Oversee and support the UK regulatory compliance program, reviewing, writing and implementing policies & procedures as required.

• Advising the senior management team on all Compliance, Risk and AML obligations and requirements, ensuring they are kept up to speed with all new and upcoming regulatory changes.
• Main point of contact with the FCA and external compliance advisors and consultants.
• Assist in collecting initial and ongoing customer due diligence inputs
• Ensure adherence to firm policies and procedures, including proper document retention
• Support the FCA registration initiative, including working with external counsel to source requisite information across various platforms
• Provide input into the firm’s policy framework and work with stakeholders to identify gaps in existing policies and procedures
• Help ensure that identified risks are escalated to the appropriate personnel
• Provide support for Global compliance and regulatory risk mitigation initiatives
• Partner with Product teams to update compliance procedures when necessary
• Collaborate with Sales and offer subject matter expertise to enhance the overall client experience

The successful candidate will have at least 7 years Compliance experience including trading surveillance and must have an in-depth knowledge of regulatory requirements for trading venues (e.g., MTF, OTF). While some experience in AML and financial crime compliance is also required as important will be your sleeves rolled up approach and willingness to wear numerous hats in order to get the business up and running in the UK.

This is a fantastic opportunity for a confident and polished individual with strong interpersonal skills to join a hugely successful global Fintech in an exciting greenfield role.

If you feel you have the above average interpersonal skills and technical knowledge to help the business please call Gary Collins on for a confidential discussion about this position or send your details to (including a contact number & email) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).