At a Glance
- Tasks: Oversee regulatory compliance and monitor financial crime controls across the organisation.
- Company: Join a leading fintech company committed to compliance and innovation.
- Benefits: Competitive salary, flexible working options, and opportunities for professional growth.
- Other info: Dynamic role with opportunities to lead and influence compliance strategies.
- Why this job: Make a real impact by ensuring compliance and safeguarding consumer protection.
- Qualifications: Significant experience in regulatory compliance within financial services is essential.
The predicted salary is between 70000 - 90000 £ per year.
Overview Provide independent 2Lo D oversight and challenge across regulatory compliance, financial crime, operational resilience, safeguarding, conduct, and consumer protection controls.
Monitor compliance with FCA rules, regulatory guidance, and supervisory expectations.
Support the UK Head of Compliance in maintaining and enhancing an effective regulatory compliance framework.
Act as a trusted advisor to business stakeholders on regulatory compliance matters.
Provide constructive challenge and independent judgement on regulatory risks and business initiatives.
Lead and manage the Compliance Monitoring Programme (CMP).
Design and execute a risk-based monitoring and testing plan covering regulatory compliance and financial crime controls for the entities within Altery Group.
Develop and maintain monitoring methodologies, testing techniques, working sheets and reporting frameworks.
Assess the design and operating effectiveness of key controls.
Identify control weaknesses, document findings, and oversee remediation activities through to completion.
Produce clear and insightful monitoring reports for senior management and governance committees.
Independently validate remediation actions and closure evidence to ensure issues have been effectively addressed and embedded.
Maintain oversight of monitoring findings, action plans, overdue issues, and recurring themes.
Ensure monitoring activities remain proportionate, risk-based, evidence-driven, and aligned with regulatory expectations and industry good practice.
Requirements Significant experience in a regulatory compliance, compliance assurance, compliance monitoring, or compliance oversight role within financial services, fintech, payments, banking, or e-money institutions.
Strong knowledge of FCA rules, guidance, and supervisory expectations.
Experience operating within a Second Line of Defence environment.
Strong understanding of governance, systems and controls, and regulatory assurance frameworks.
Proven experience designing, managing, and executing compliance monitoring and testing programmes.
Strong understanding of control design, effectiveness assessments, and remediation processes.
Experience conducting thematic reviews, root cause analysis, and control effectiveness assessments.
Ability to translate complex regulatory requirements into practical testing and assurance activities.
Strong understanding of key UK regulatory areas, including FCA Principles for Businesses, Consumer Duty, Financial Crime (AML, CTF, Sanctions and Fraud), Safeguarding, Operational Resilience, Outsourcing and Third-Party Risk Management, Conduct Risk, Financial Promotions, Complaints Handling, Regulatory Reporting, and Data Protection and Information Governance.
Professional Qualifications ICA, ACAMS, IRM, or equivalent professional qualifications are desirable. #J-18808-Ljbffr
