Head of Compliance

Job Description

Equifind have teamed up with a new fintech client who are in the market for a parttime head of compliance to join the business on an ad hoc basis.

You will be allowed to work remotely and the workload will vary weekly.

The business has grown considerably over the past few years with great profits and acquisitions whilst offering a fantastic working environment where everyone has a voice to create a collaborative culture.

Key duties and responsibilities for this head of compliance position include:

• Performing and maintaining a comprehensive compliance program tailored to the needs of the organisation which will include amongst other things addressing regulatory requirements across the markets we work in for lending origination fundraising and data management
• Maintain a system for ongoing monitoring and auditing of compliance activities
• Regulatory Compliance and keep up to speed with relevant laws regulations and industry standards that affect the Groups operations
• Ensure the Groups activities and operations align with all applicable regulatory requirements
• Develop and maintain the Groups policies and procedures to address compliance requirements
• Ensure policies and procedures are communicated and understood throughout the organisation
• Conduct periodic risk assessments to identify potential compliance risks and vulnerabilities
• Develop and implement risk mitigation strategies and action plans
• Provide compliance training and education to employees and management to promote awareness and understanding of compliance requirements
• Prepare and submit regulatory reports and filings as required by relevant authorities
• Maintain accurate records of compliancerelated activities
• Manage all the compliance monitoring and auditing

Experience & Qualifications

• 8 years of compliance experience in a FCA regulated firm
• Knowledge of Asset Management compliance requirements in multiple jurisdictions including UK EU US and highlevel understanding of how to manage compliance in emerging markets
• Knowledge of the emerging markets would be a big plus
• Eligibility to hold SMF 16 & 17 designation although the successful candidate is not required to have held these previously

About the business

A fintech firm that has been growing at a great pace over the past few years since it started up. The business is predominantly a credit lending firm but it is also diversifying its products in the near future.

With offices all across the globe you will be joining an international business but there is still an intimate feel across its operations and all employees are asked to add value and give their say on making the business even better.

You will support the senior management with all the necessary compliance work and be the leader for all things compliance. You will have full ownership of this and mentor the KYC junior.

Daily Rate

This opportunity for a head of compliance will ideally start in the next few weeks and will be ongoing.

We will be looking at candidates in the range of 100k120k pro rata depending on your experience and background. This can be over 23 days per week.

This role can be fully remote but you can work from the London office if you like. Would be nice for the candidate to be in the office once every two weeks.