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- Tasks: Lead compliance efforts, ensuring FCA regulations are met while overseeing third-party providers.
- Company: Join a cutting-edge investment platform connecting startups with investors, focused on compliance and transparency.
- Benefits: Enjoy flexitime, remote work options, and a competitive salary with performance bonuses.
- Why this job: Shape the future of compliance in a fast-growing firm and make a real impact in finance.
- Qualifications: 5+ years in financial services compliance, with strong knowledge of FCA regulations and KYC processes.
- Other info: Exciting opportunity to influence compliance as the company scales; apply by 16 April 2025.
The predicted salary is between 31315 - 36745 £ per year.
Keenan Recruitment has been retained to recruit for a full-time, permanent Compliance Manager.
Pay: £37,394.00-£45,294.00 per year
Performance bonus
Benefits: Flexitime, Work from home
Schedule: Monday to Friday
Experience: Financial services compliance or consulting: 5 years (required)
Work Location: Remote
Application deadline: 12 noon on 16 April 2025
Expected start date: 28 April 2025
About the Client: A next-generation early-stage investment platform connecting startups with business angels, institutional investors, and, soon, retail investors. As they prepare to become FCA regulated, compliance is at the heart of their operations, ensuring a secure, transparent, and efficient fundraising ecosystem.
Role Overview: As Compliance Manager, you will be responsible for ensuring our client meets its regulatory obligations under FCA rules. While CASS compliance is handled by a third-party provider, you will oversee outsourced compliance, financial promotions, investor verification (KYC), and risk management across the business.
Key Responsibilities:
- Regulatory Compliance & Third-Party Oversight: Ensure the firm remains FCA compliant, with a focus on financial promotions, SMCR, NNRS, and NMPIs. Oversee third-party providers handling client money, ensuring they meet regulatory standards. Conduct due diligence and ongoing monitoring of external transaction partners.
- KYC & Investor Verification: Lead Know Your Customer (KYC) processes, ensuring robust identity verification and risk assessment measures for investors and startups. Oversee third-party KYC providers to ensure compliance with AML regulations.
- Financial Promotions Compliance: Review and approve all investment materials, ensuring they comply with FCA financial promotion rules. Monitor the platform for misleading claims, unverified financials, and risk disclosures.
- Compliance Monitoring & Internal Policies: Develop and manage the compliance monitoring programme, ensuring all processes align with FCA regulations. Work across teams to maintain a strong conduct culture.
- Training & Internal Compliance Awareness: Deliver regulatory and compliance training across the business, tailored to relevant teams. Ensure all employees understand compliance obligations and regulatory best practices.
- Regulatory Reporting & Engagement: Regulatory reporting and maintaining relationships with the FCA. Ensure Senior Managers & Certification Regime (SMCR) compliance is maintained.
- Regulatory Change & Business Adaptation: Stay ahead of FCA regulatory changes, particularly in early-stage investing, crowdfunding, and digital finance. Lead on new compliance projects, adapting the firm's approach to evolving regulations.
Who You Are: We're looking for a detail-oriented compliance professional with a strong understanding of FCA regulations and outsourced compliance oversight.
You Should Have:
- 5+ years experience in financial services compliance or consulting.
- Familiarity with crowdfunding and investment regulations.
- A self-starter and problem-solver mindset, capable of identifying and improving inefficiencies.
- Strong knowledge of FCA investment business regulations, including NNRS, NMPIs, SMCR, and COBS.
- Experience overseeing third-party financial services providers.
- Background in KYC, investor verification, and AML compliance.
- A track record of collaborating across teams to develop practical compliance solutions.
- Strong analytical skills, confident working with spreadsheets and numerical data.
- Fluent English writing and communication skills.
- Ability to manage multiple projects simultaneously in a fast-paced environment.
This is an exciting opportunity to join a fast-growing investment platform and shape our compliance function as we scale. If you have a passion for financial regulation and alternative investment markets, we want to hear from you!
Contact Aideen Duggan at Keenan Recruitment for a confidential chat.
Keenan Recruitment is an equal opportunity employer, acting as an Employment Business on behalf of our Clients for temporary work and an Employment Agency for providing permanent employment with our Clients.
Keenan Recruitment is proudly a Corporate Member of REC - 10638 (Recruitment and Employment Confederation) adhering to all current employment legislation.
Benefits: Work From Home
Compliance Manager employer: Keenan Recruitment
Contact Detail:
Keenan Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance requirements, especially those related to crowdfunding and investment. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly evolving field.
✨Tip Number 2
Network with professionals in the financial services compliance sector. Attend webinars or industry events where you can meet others who work in similar roles. Building these connections can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance projects in the past. Highlight your experience with KYC processes and third-party oversight, as these are crucial for the role of Compliance Manager.
✨Tip Number 4
Showcase your analytical skills by being ready to discuss how you've used data to improve compliance processes. Being able to demonstrate your ability to work with numerical data will set you apart from other candidates.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in financial services compliance, particularly focusing on your 5+ years of experience. Emphasise your familiarity with FCA regulations and any specific projects you've led related to KYC or AML compliance.
Craft a Compelling Cover Letter: In your cover letter, express your passion for compliance and the financial sector. Mention specific examples of how you've successfully managed compliance projects or improved processes in previous roles, showcasing your problem-solving skills.
Highlight Key Skills: Clearly outline your analytical skills and experience with spreadsheets and numerical data. Make sure to mention your ability to manage multiple projects simultaneously, as this is crucial for the fast-paced environment of the role.
Showcase Communication Skills: Since strong communication skills are essential, provide examples of how you've delivered training or communicated complex regulatory information to teams. This will demonstrate your ability to foster a strong compliance culture within the organisation.
How to prepare for a job interview at Keenan Recruitment
✨Know Your FCA Regulations
Make sure you have a solid understanding of FCA regulations, especially those relevant to financial promotions and compliance. Brush up on NNRS, NMPIs, and SMCR as these will likely come up during your interview.
✨Demonstrate Your KYC Expertise
Be prepared to discuss your experience with Know Your Customer (KYC) processes. Highlight specific examples where you've successfully implemented identity verification and risk assessment measures.
✨Showcase Your Analytical Skills
Since the role involves working with numerical data and spreadsheets, be ready to demonstrate your analytical skills. You might be asked to solve a problem or analyse a scenario related to compliance.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your ability to handle compliance challenges. Think about past experiences where you identified inefficiencies or adapted to regulatory changes, and be ready to share those stories.
