Director of Compliance

We are currently looking for an experienced, hands-on, and energetic Director of Compliance to join our FinTech clients London Office! The ideal candidate will be responsible for leading the compliance function of their UK operations, including conducting reviews to evaluate the firm’s compliance with applicable laws and regulations and ensuring that control gaps are adequately escalated and mitigated through remedial actions. In addition, the candidate will be responsible for establishing best practices for our global operations.

This role will give you the opportunity to:

• Build the compliance operations, including the selection of relevant vendors and creation of appropriate policies and processes;
• Conduct reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements;
• Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations;
• Determine the root cause of issues and develop effective remediation plans to mitigate the risks;
• Drive implementation of local regulatory change/remediation projects and initiatives.

A bit about you:

• 7+ years of industry experience within institutional broker-dealer activities;
• Previous experience with a broker is required;
• Previous experience of being an SMF16 officer (Compliance oversight) and SMF17 officer is a big plus (MLRO);
• Previous experience within the securities financing industry is a plus;
• Strong analytical, writing, and presentation skills;
• Highly motivated, proactive individual who has demonstrated the ability to take initiative, identify issues, propose solutions, and implement change;
• Strong attention to detail, balanced with a strong focus on execution and results;
• Self-starter, able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting;
• Excellent communication skills.