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For Companies At a Glance
- Tasks: Ensure compliance and risk management while supporting business growth.
- Company: Join ANNA Money, a dynamic fintech empowering businesses.
- Benefits: Flexible working, personal development funds, and wellbeing support.
- Why this job: Make a real impact in a fast-paced environment with a supportive team.
- Qualifications: 3-6 years in compliance or risk within financial services.
- Other info: Enjoy a flat structure that promotes ownership and collaboration.
The predicted salary is between 36000 - 60000 £ per year.
ANNA Money is a business account and admin assistant. Many of our customers are new to the business world, so we offer 24/7 support to help them grow their businesses from the ground up. Our goal is to deliver exceptional customer service to all businesses, regardless of size. The Compliance and Assurance Officer has a big role in this.
About the Role
The Compliance and Assurance Officer supports the effective operation of the organisation’s compliance framework. The role ensures that regulatory obligations, internal policies, and risk management standards are adhered to through monitoring, testing, thematic reviews, reporting, and continuous improvement of controls.
Compliance Monitoring and Assurance
- Assist with the delivery of the annual Compliance Monitoring Plan (CMP) and complete assigned monitoring reviews within agreed timelines.
- Conduct thematic reviews to assess the design and effectiveness of first and second-line controls.
- Perform sample testing on customer accounts, transactions, escalations, and operational processes to identify gaps or breaches.
- Prepare clear, evidence-based monitoring reports with findings, recommendations, and risk ratings.
- Track remediation actions and verify closure of issues.
Regulatory Compliance
- Support the identification, assessment, and documentation of regulatory obligations relevant to the business.
- Assist with regulatory horizon scanning, identifying new or emerging regulations, and supporting impact assessments.
- Help ensure policies, procedures, and guidance documents remain up to date and aligned with current regulatory expectations.
Risk Management
- Contribute to ongoing assessment of compliance risks across the business.
- Support risk and control self-assessments (RCSAs), including collecting evidence and validating controls.
- Escalate issues, breaches, or emerging risks to senior compliance staff.
Reporting and Governance
- Prepare regular MI for committees, senior management, and stakeholders.
- Maintain logs, including incidents, breaches, gifts and hospitality, conflicts of interest, and complaints, as required.
- Support preparation for internal and external audits, regulatory reviews, and board risk committee meetings.
Training and Awareness
- Assist in developing and delivering compliance training and onboarding sessions for staff.
- Provide day-to-day guidance to operational teams on compliance-related queries.
Continuous Improvement
- Identify opportunities to enhance processes, mitigate risk, and enhance governance.
- Contribute to projects related to new product reviews, system enhancements, policy development, and control automation.
The successful candidate should demonstrate:
- Comfort working in a fast-paced fintech or scale-up environment, where priorities can shift quickly.
- A dynamic and proactive mindset, with the ability to identify issues and follow through to resolution.
- Strong analytical and investigative skills when reviewing customer activity, operational processes, and controls.
- Confidence to challenge processes and escalate risks where necessary.
- Clear written communication skills, particularly when preparing monitoring reports and risk summaries for senior management.
- Ability to collaborate across first-line teams, such as onboarding, product, fraud operations, and customer support.
Experience
- 3–6 years’ experience in Compliance, Financial Crime, Risk, or Internal Audit within a regulated financial services environment.
- Strong familiarity with the UK regulatory framework, particularly requirements set by the Financial Conduct Authority.
- Practical experience working within Electronic Money Institutions (EMIs), Payment Institutions, fintechs, or banks operating under the Electronic Money Regulations 2011 (EMRs) and/or Payment Services Regulations 2017 (PSRs).
- Experience delivering compliance monitoring reviews, thematic reviews, or control assurance testing.
- Hands-on experience reviewing customer accounts, transactions, and operational processes to identify compliance or financial crime risks.
- Exposure to AML/CTF frameworks under the UK Money Laundering Regulations 2017.
What We Offer
At ANNA, we celebrate a flat organisational structure. You might be wondering what that means! Well, it’s all about empowering our team by sharing power and decision-making responsibilities, so everyone can feel a sense of ownership.
- Flexible working — focused on trust, autonomy and outcomes
- Hybrid or Remote working, depending on role
- Work from anywhere for up to 3 months
- Support towards home working equipment
- Flexible hours for caregiving responsibilities
- Temporary reduced hours / phased returns when life needs it
- Time off for your child’s first day of school
- Employee Growth Share options
- Wellbeing support
- Financial Wellbeing initiatives
- Growth & Self-Direction opportunities
- Time Off & Life Moments considerations
- Belonging & Connection activities
Please note that due to a high level of demand in candidates for this role, we’re unable to respond to individual emails or questions about the position. We hope that we’ve been thorough and transparent regarding the requirements and expectations of this role.
Compliance and Assurance Officer employer: ANNA Money
Contact Detail:
ANNA Money Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance and Assurance Officer
✨Tip Number 1
Network like a pro! Reach out to people in the compliance and fintech space on LinkedIn. Join relevant groups and engage in discussions. You never know who might have a lead on your dream job!
✨Tip Number 2
Prepare for interviews by researching ANNA Money and its compliance framework. Understand their values and how you can contribute. Tailor your answers to show how your experience aligns with their needs.
✨Tip Number 3
Practice your interview skills with a friend or use mock interview platforms. Focus on articulating your analytical skills and experience in compliance monitoring. Confidence is key!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, it shows you’re genuinely interested in being part of the ANNA team.
We think you need these skills to ace Compliance and Assurance Officer
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience in compliance and risk management. We want to see how your skills align with the role, so don’t hold back on showcasing your relevant achievements!
Be Clear and Concise: When writing your application, keep it straightforward and to the point. Use clear language to describe your experiences and skills, especially when it comes to compliance monitoring and reporting. We appreciate clarity!
Show Your Passion for Compliance: Let your enthusiasm for compliance and assurance shine through in your application. Share examples of how you’ve contributed to compliance frameworks or improved processes in previous roles. We love candidates who are proactive and passionate!
Apply Through Our Website: We encourage you to submit your application directly through our website. It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it’s super easy!
How to prepare for a job interview at ANNA Money
✨Know Your Compliance Stuff
Make sure you brush up on the UK regulatory framework, especially the Financial Conduct Authority's requirements. Be ready to discuss how your experience aligns with compliance monitoring and risk management, as this will show you're not just familiar but also passionate about the field.
✨Show Off Your Analytical Skills
Prepare to demonstrate your strong analytical and investigative skills. Think of specific examples where you've identified compliance risks or gaps in processes. This will help you stand out as someone who can think critically and act decisively.
✨Communicate Clearly
Since you'll be preparing reports for senior management, practice summarising complex information clearly and concisely. Bring along a sample report if you can, or be ready to explain how you would approach writing one based on your past experiences.
✨Be Proactive and Dynamic
ANNA values a proactive mindset, so come prepared with examples of how you've taken initiative in previous roles. Discuss any situations where you’ve had to adapt quickly to changing priorities, as this will show you can thrive in a fast-paced environment.