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- Tasks: Ensure compliance and oversee regulatory processes in a dynamic investment platform.
- Company: High-growth investment platform with a focus on innovation and compliance.
- Benefits: Competitive day rate, hybrid work model, and opportunity to influence compliance practices.
- Why this job: Join a fast-paced environment and make a real impact on compliance in fintech.
- Qualifications: Significant compliance experience, ideally in a MiFID Investment Firm or fintech.
- Other info: Immediate start required; excellent opportunity for career advancement.
We are partnering with a high growth investment platform, who require a hands-on experienced compliance generalist for an initial 6 month period. This will be a hybrid day rate role, based out of their office in the city. The contract will be outside of IR35 and the rate is in the region of £600 - £700 per day.
Responsibilities:
- Delivering high-quality compliance oversight and challenge to the business and acting as the central point of contact for any compliance-related issues.
- Ensuring the firm’s policies and procedures are being communicated effectively across the organisation and employees are trained in appropriate compliance areas.
- Managing compliance systems and processes, across areas including AML, consumer credit and discretionary portfolio management. Proactively auditing these processes and providing ongoing assessments of areas for improvement.
- Responsible for keeping up to date with regulatory developments, maintaining a strong relationship with the regulator and managing all reporting requirements.
- Review and sign-off financial promotions.
- Submission of Regulatory Returns.
- Collaborating with the product and development teams by providing compliance advice as we design and develop new products for the UK market.
Requirements:
- Significant Compliance experience ideally within a MiFID Investment Firm or Savings business.
- A strong understanding of the UK regulatory environment for investment, banking, and consumer lenders, including AML, information/security, etc.
- Experience of working within smaller agile firms or ideally within a fintech and demonstrable experience of working with product and technology teams.
- The ability to communicate effectively with key internal and external stakeholders, including the regulator.
- High levels of integrity and a commitment to establishing and maintaining the highest ethical and professional standards.
- Data protection experience/knowledge is preferred.
- A compliance/financial crime qualification would be advantageous.
This is an urgent requirement, so please only apply if you can start immediately or within a matter of weeks.
Interim Compliance Officer and MLRO in London employer: Birchlake Recruitment
Contact Detail:
Birchlake Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Interim Compliance Officer and MLRO in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and fintech sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Show off your expertise! Prepare to discuss your experience with AML, regulatory developments, and compliance systems in detail during interviews. We want to see how you can add value to the team.
✨Tip Number 3
Be proactive! If you spot a compliance issue or a gap in processes during your research on the company, bring it up in your interview. It shows initiative and that you’re already thinking about improvements.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who take the extra step to connect with us directly.
We think you need these skills to ace Interim Compliance Officer and MLRO in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the role of Interim Compliance Officer and MLRO. Highlight your compliance experience, especially in MiFID Investment Firms or fintech, and showcase any relevant qualifications. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Mention your understanding of the UK regulatory environment and how you've successfully managed compliance systems in the past. Let us know why you’re excited about this opportunity!
Showcase Your Communication Skills: Since you'll be liaising with various stakeholders, it's crucial to demonstrate your communication skills in your application. Use clear and concise language, and provide examples of how you've effectively communicated compliance issues in previous roles. We love a good communicator!
Apply Through Our Website: Don't forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us that you’re keen on joining our team at StudySmarter. We can’t wait to hear from you!
How to prepare for a job interview at Birchlake Recruitment
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of the UK regulatory environment, especially around AML and MiFID. Be ready to discuss how you've navigated compliance challenges in previous roles, as this will show your hands-on experience.
✨Showcase Your Communication Skills
Since you'll be liaising with various stakeholders, practice articulating complex compliance concepts in simple terms. Think of examples where you've effectively communicated compliance issues or training to teams, as this will highlight your ability to engage with others.
✨Be Ready for Scenario Questions
Prepare for situational questions that test your problem-solving skills in compliance scenarios. Think about past experiences where you had to audit processes or manage compliance systems, and be ready to explain your thought process and outcomes.
✨Stay Updated on Regulatory Changes
Demonstrate your commitment to staying current by discussing recent regulatory developments. This shows that you're proactive and engaged in the compliance field, which is crucial for the role of Interim Compliance Officer.
