The opportunity
Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades.
What you'll do
Oversee and maintain the firm's compliance framework in accordance with FCA rules and applicable legislation.
Monitor regulatory developments and assess their impact on the business.
Develop and deliver the annual Compliance Monitoring Plan and ensure timely remediation of identified issues.
Provide practical regulatory advice to senior management on investments and: crypto products and business initiatives and associated regulatory obligations.
Act as a primary contact for the FCA and other relevant regulatory bodies
Own Consumer Duty oversight
What they're looking for
- Oversee financial crime and AML frameworks with the MLRO
- Identify and assess risks with the 1st line of defence
- Review financial promotions, website content and marketing communications to: ensure compliance with FCA requirements.
- Chair Risk & Compliance Committee
