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- Tasks: Lead the creation of risk and compliance frameworks for a new fintech venture.
- Company: Join a fast-growing, digitally led financial services firm with a strong brand in retirement.
- Benefits: Enjoy a competitive salary, hybrid working, and opportunities for personal growth.
- Why this job: Make a real impact from day one in a mission-driven, collaborative environment.
- Qualifications: Experience in compliance or operational risk, ideally in fintech or financial services.
- Other info: This role offers a unique chance to shape compliance culture in a start-up setting.
The predicted salary is between 86000 - 103200 £ per year.
1st Line Risk & Compliance Manager – Fintech Start-up
Join to apply for the 1st Line Risk & Compliance Manager – Fintech Start-up role at Oliver James
1st Line Risk & Compliance Manager – Fintech Start-up
Join to apply for the 1st Line Risk & Compliance Manager – Fintech Start-up role at Oliver James
First Line Risk & Compliance Manager
Location: London (hybrid)
Salary: £100,000 – £120,000 + benefits
Type: Permanent, full-time
Oliver James are partnering with a fast-growing, digitally led financial services firm who are looking for a First Line Risk & Compliance Manager to support a newly created business arm. This is a unique opportunity to join at the early stages of an ambitious, customer-focused venture backed by a well-established brand in the retirement space.
You\’ll work closely with key stakeholders to build and embed fit-for-purpose risk and compliance frameworks from the ground up – making this a highly visible and meaningful role for someone looking to shape how things are done.
Key Responsibilities
- Design, implement and maintain a first line risk & compliance management framework tailored to a growing direct-to-consumer business.
- Provide guidance to operational teams on regulatory obligations, particularly around Consumer Duty, KYC/AML, and conduct risk.
- Carry out risk assessments, control testing, and horizon scanning activities.
- Partner with product, proposition, and operations teams to ensure customer journeys meet regulatory standards.
- Lead on first line compliance monitoring, identifying potential risks and supporting issue resolution.
- Support the delivery of training, help shape internal policies, and contribute to creating a culture of risk awareness.
- Collaborate with second line compliance and risk teams to ensure alignment across the wider group.
Desirable Experience & Skills
- Proven experience in a first line compliance or operational risk role, ideally within financial services, fintech, insurance or pensions
- Good understanding of FCA regulations, especially around SYSC, Consumer Duty, KYC, and AML.
- Experience in designing or embedding risk and compliance frameworks in a fast-paced environment.
- Strong stakeholder engagement and communication skills – able to influence across teams.
- Exposure to start-up, scale-up or D2C environments is essential.
- A collaborative, hands-on approach and a proactive mindset.
This is a rare opportunity to shape compliance and risk culture in a growing, mission-led business. You\’ll be part of a close-knit, forward-thinking team with room to grow and influence.
If you\’re looking to step into a role where you can have real impact from day one please apply below or email an up to date CV to Joss.Lawrence@Oliverjames.com
Apply Now
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1st Line Risk & Compliance Manager - Fintech Start-up employer: Oliver James
Contact Detail:
Oliver James Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land 1st Line Risk & Compliance Manager - Fintech Start-up
✨Tip Number 1
Familiarise yourself with the latest FCA regulations, especially those related to Consumer Duty, KYC, and AML. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to compliance during discussions.
✨Tip Number 2
Network with professionals in the fintech space, particularly those who have experience in risk and compliance roles. Engaging in conversations can provide you with valuable insights and may even lead to referrals that could enhance your application.
✨Tip Number 3
Prepare to discuss your experience in designing or embedding risk frameworks in fast-paced environments. Be ready to share specific examples of how you've successfully navigated challenges in previous roles, as this will showcase your hands-on approach.
✨Tip Number 4
Highlight your stakeholder engagement skills by preparing anecdotes that illustrate your ability to influence and collaborate across teams. This is crucial for a role that requires working closely with various departments to ensure compliance.
We think you need these skills to ace 1st Line Risk & Compliance Manager - Fintech Start-up
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in risk and compliance, particularly within fintech or financial services. Use keywords from the job description to demonstrate your fit for the role.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of FCA regulations and your experience in designing risk frameworks. Explain why you're passionate about working in a start-up environment and how you can contribute to their mission.
Highlight Stakeholder Engagement Skills: In your application, emphasise your strong communication and stakeholder engagement skills. Provide examples of how you've influenced teams or led initiatives in previous roles.
Showcase Your Proactive Mindset: Demonstrate your proactive approach by including specific instances where you've identified risks and implemented solutions. This will show the employer that you can take initiative in a fast-paced environment.
How to prepare for a job interview at Oliver James
✨Understand the Regulatory Landscape
Make sure you have a solid grasp of FCA regulations, especially around Consumer Duty, KYC, and AML. Being able to discuss these topics confidently will show that you're well-prepared and knowledgeable about the compliance landscape.
✨Showcase Your Stakeholder Engagement Skills
Prepare examples of how you've successfully engaged with stakeholders in previous roles. Highlight your communication skills and ability to influence across teams, as this is crucial for the role.
✨Demonstrate Your Framework Design Experience
Be ready to discuss any experience you have in designing or embedding risk and compliance frameworks. Share specific examples of how you've contributed to creating effective compliance structures in fast-paced environments.
✨Emphasise Your Collaborative Approach
This role requires a hands-on and collaborative mindset. Prepare to talk about times when you've worked closely with product, proposition, and operations teams to ensure compliance standards are met, showcasing your proactive nature.
