Compliance and Supervision Manager - FinTechs

2019-09-27 14:43:122019-11-15Twenty84
Job TypePermanent Full Time
AreaLondon, England
SectorRegulatory Compliance
Salary£50-55k + pension, life insurance, bonus, 25 days holiday, study
Start DateASAP
Job Views47
Reputable compliance consultancy based in the City is looking for a Compliance and Supervision Manager to join their team due to continued growth and be responsible for delivering a range of financial services compliance solutions to their Appointed Representative clients in the FinTech sector including businesses in the Corporate Finance, Peer 2 Peer Lending, Crowd Funding and Consumer Credit spaces.

This is a fantastic opportunity to get more exposure to a variety of clients and expand your compliance experience:

  • Advising senior business stakeholders on their regulatory obligations and how they should be met in respect of Corporate Finance, Peer 2 Peer Lending, Crowd Funding and Consumer Credit
  • Assessing regulatory business plans during onboarding and subsequent changes to business models
  • Undertake supervisory visits of appointed representative firms
  • Provide detailed Audit reports and ensure audit actions are tracked to completion
  • Responsible for the implementation of any requirements of FCA rules and regulations relating to appointed representative firms
  • Drafting policies, procedures and reports as required
  • Produce internal and external reports on FCA policy
  • Delivering compliance training to approved persons and other relevant staff
  • Supporting the Financial Promotions approval process
  • Maintaining an up to date knowledge and understanding of regulatory policies, including, Financial Crime Prevention, Conflicts of Interest, GDPR, Inducements and Financial Promotions and Training and Competence

To apply for this role you should have good exposure to lending / credit regulations such as CONC and also knowledge of some of RAO, PERG, SYSC, COBS and DISP. CISI QCF level 4 qualification or working towards is desirable. You will also have a background in compliance, audit, monitoring or supervision of regulated firms and may have prior experience with a Consultancy or Regulator (not essential). Ideally knowledge and understanding of business models, AML and audit and ability to read and understand FCA policy, produce internal and external reports and have excellent written and verbal communication skills.

This is a fantastic role which will offer huge scope and exposure with great career development opportunities.
Apply Later
Sign in
Register with
Browse Twenty84's jobs
Get in touch with Twenty84
Similar Jobs
  • Head of Compliance and MLRO (CF10 / CF11)
    England, London
    Regulatory Compliance
    £80-100k plus bonus/equity

    Very exciting start up in the WealthTech space based in Soho is looking for a Head of Compliance and MLRO reporting to the Founders:

    Managing the daily operations of the compliance and financial crime / KYC functionsDeveloping policies and proceduresCompliance mon...
  • Deputy Head of Compliance and MLRO - Barcelona
    Spain, Barcelona
    Regulatory Compliance
    EUR 60-70k plus benefits

    Rapidly growing, award winning, exciting, and profitable FinTech in the FX space is looking for a Deputy Head of Compliance / MLRO reporting to the Head of Compliance, the role is based in Barcelona:

    Develop compliance and financial crime policies and proceduresImplement...
  • MLRO / Senior Compliance Manager
    England, London
    Regulatory Compliance
    £80-100k plus benefits

    Exciting start-up FinTech in the wholesale banking and cross border payments space is now looking to hire a MLRO / Senior Compliance Manager to lead their financial crime function driving financial crime operations, projects, controls, and policies:

    Managing relationships with ...
Email Me Jobs Like This
Subscribed to similar jobs notifications


Registered Address:
International House,
24 Holborn Viaduct,
City of London,

Social network

We use cookies to provide you with the best possible browsing experience on our website. You can find out more below.
Cookies are small text files that can be used by websites to make a user's experience more efficient. The law states that we can store cookies on your device if they are strictly necessary for the operation of this site. For all other types of cookies we need your permission. This site uses different types of cookies. Some cookies are placed by third party services that appear on our pages.
Necessary cookies help make a website usable by enabling basic functions like page navigation and access to secure areas of the website. The website cannot function properly without these cookies.
ResolutionUsed to ensure the correct version of the site is displayed to your device.
SessionUsed to track your user session on our website.
Statistic cookies help website owners to understand how visitors interact with websites by collecting and reporting information anonymously.
Google AnalyticsGoogle Analytics is an analytics tool to measure website, app, digital and offline data to gain user insights.
HubSpotThe HubSpot tracking code monitors website traffic to capture analytics.
Facebook Pixel

More Details