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For Companies At a Glance
- Tasks: Ensure compliance and manage AML/CTF frameworks in a fast-paced environment.
- Company: Roots Funding, a global investment marketplace connecting startups with investors.
- Benefits: Remote work options, career growth opportunities, and a collaborative culture.
- Why this job: Make a direct impact on a tech-driven platform while working globally.
- Qualifications: 3+ years in compliance or regulatory roles, strong analytical and communication skills.
- Other info: Join a dynamic team and champion a culture of integrity.
The predicted salary is between 36000 - 60000 £ per year.
About Us
Roots Funding (“RF”) is a global investment and fundraising marketplace connecting high-potential startups, SMEs, and ventures with investors worldwide. Our mission is to democratize access to private markets across sectors like fintech, medtech, space-tech, and real estate — fostering growth through innovative equity and debt solutions.
The Role
We are seeking an experienced Compliance Officer & MLRO (SMF16/17) to join our global team. You’ll play a key role in ensuring regulatory compliance, managing AML/CTF frameworks, and strengthening our governance processes as we scale internationally.
Key Responsibilities
- Act as SMF16 and SMF17 for the firm, ensuring compliance with FCA and relevant global regulations.
- Oversee AML/CTF policies, monitoring, testing, and regulatory reporting.
- Lead compliance risk assessments and support the development of internal controls.
- Advise business units on regulatory changes and ensure adherence across operations.
- Conduct investigations, submit SARs, and liaise with regulatory authorities.
- Build strong relationships with stakeholders and champion a culture of integrity.
What We’re Looking For
- 3+ years’ experience in compliance, AML/CTF, or regulatory roles within financial services.
- Proven experience in or readiness for SMF16/17 responsibilities.
- Strong understanding of UK regulatory landscape and best practices.
- Excellent analytical, communication, and stakeholder engagement skills.
- Proactive, detail-oriented, and capable of working independently in a fast-paced environment.
Why Join Us
- Work remotely with the option of our London office.
- Make a direct impact in a high-growth, tech-driven investment platform.
- Collaborative, global environment with opportunities for career growth.
The content of this page has not been approved by an authorized person within the meaning of Financial Services and Markets Act 2000. Reliance on this promotion for the purpose of engaging in any investment activity may expose an individual to significant risk of losing all of the property or other assets involved.
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Compliance Officer and MLRO employer: Roots Funding Ltd
Contact Detail:
Roots Funding Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer and MLRO
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial services sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of AML/CTF regulations and the UK regulatory landscape. Be ready to discuss how your experience aligns with the responsibilities of a Compliance Officer and MLRO.
✨Tip Number 3
Showcase your analytical and communication skills during interviews. Use examples from your past roles to demonstrate how you've successfully managed compliance risks and built relationships with stakeholders.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are genuinely interested in joining our mission at Roots Funding.
We think you need these skills to ace Compliance Officer and MLRO
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer & MLRO role. Highlight your experience in compliance, AML/CTF, and any relevant regulatory roles. We want to see how your skills align with our mission at Roots Funding!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how you can contribute to our team. Don’t forget to mention your understanding of the UK regulatory landscape – it’s key for us!
Showcase Your Analytical Skills: In your application, be sure to showcase your analytical skills. We’re looking for someone who can lead compliance risk assessments and develop internal controls. Share examples of how you've done this in previous roles!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates from us. We can’t wait to hear from you!
How to prepare for a job interview at Roots Funding Ltd
✨Know Your Regulations
Make sure you brush up on the FCA regulations and global compliance standards relevant to the role. Being able to discuss specific regulations and how they apply to the company will show that you're not just familiar with the basics, but that you’re ready to take on SMF16/17 responsibilities.
✨Showcase Your Experience
Prepare to share concrete examples from your past roles where you've successfully managed compliance or AML/CTF frameworks. Highlight any investigations you've conducted or regulatory reports you've submitted, as this will demonstrate your hands-on experience and capability in the field.
✨Engage with Stakeholders
Think about how you’ve built relationships with stakeholders in previous positions. Be ready to discuss your approach to stakeholder engagement and how you’ve championed a culture of integrity within your teams. This is crucial for the role, so showing your interpersonal skills will be key.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance culture and future regulatory challenges. This not only shows your interest in the role but also your proactive mindset. It’s a great way to demonstrate that you’re already thinking about how to contribute to their governance processes.
