Compliance and Supervision Manager - FinTechs


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2019-09-27 14:43:121970-01-01Twenty84
Job TypePermanent Full Time
AreaLondon, England
SectorRegulatory Compliance
Salary£50-55k + pension, life insurance, bonus, 25 days holiday, study
Start DateASAP
AdvertiserTwenty84
Job RefQD-CSFT
Job Views112
Description
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.
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