Your Responsibilities
As our US Compliance officer, you’ll be the lead for compliance in one of our fastest-growing and dynamic teams. You’ll lead our independent function in the US and report into our Compliance team based in Head Office, but will work closely with the US executive team, acting as the first point of contact for US compliance and risk topics and acting as the lynchpin in our “second line of defence” for the US business.
You’ll be an experienced (6 years plus) Compliance professional with a background experience in financial services or an allied industry, now looking to make a move into the FinTech world and keen to grow your skills as a compliance officer across a range of areas. You’re a future leader with the ability to communicate clearly and confidently; able to persuade, support and advise all levels both internally and externally.
Here are some of your core responsibilities:
You’ll be an experienced (6 years plus) Compliance professional with a background experience in financial services or an allied industry, now looking to make a move into the FinTech world and keen to grow your skills as a compliance officer across a range of areas. You’re a future leader with the ability to communicate clearly and confidently; able to persuade, support and advise all levels both internally and externally.
Here are some of your core responsibilities:
- Regulatory Compliance: working with our General Counsel and keeping abreast of evolving regulatory requirements in the US, especially those relevant to fintech and banking. This could involve interpreting and implementing new regulations, ensuring that the company's processes and policies are in compliance, and liaising with regulatory bodies as needed.
- Risk Management: playing a critical role in identifying, assessing, and mitigating compliance risks. This could include developing risk management strategies aligned with our group approach and reporting on risk assessments.
- Compliance leadership: promoting a culture of compliance within the organization. This could involve regular updates and training sessions for staff on compliance matters and ethical conduct.
- Compliance Audits and Inspections: conducting or overseeing regular compliance audits and inspections, ensuring that any deficiencies are addressed promptly.
- Incident Response and Reporting: following processes for responding to compliance-related incidents, including investigation, reporting, and resolution, in collaboration with legal or other relevant departments.
- Onboarding Banks - Research on prospects, PEP/Sanctions checking and screening, negative media searches, preparation of reports (mainly US).
- Monitoring Banks - updates to reporting, screening and searches (mainly US).
- Other Commercial partners (B2B etc) - possible compliance reporting.
- Vendor Management - Overview of helpdesk and compliance screening. Supporting colleagues with submission of checks and Due Diligence, especially at NDA stage. Maintenance of records and ensuring we have accurate and insightful reporting on our vendors’ performance from business owners.
- Critical Vendors - ensuring annual checks are carried out, liaising with InfoSec and Data Protection to support checks.
- Assistance with policy maintenance and review, including assisting with e.g. Conflict Of Interest and Gift registers.
- Assistance with the preparation and delivery of reporting to committees and annual reporting, particularly for external audits. Ability to provide both quantitative and qualitative analysis is critical.
- Support of the US team on day-to-day basis, working closely with Chief of Staff, General Counsel and COO.