Interim Compliance Officer and MLRO
Efinancialcareers

London
•1 hour ago
•No application
About
We are partnering with a high growth investment platform, who require a hands-on experienced compliance generalist for an initial 6 month period. This will be a hybrid day rate role, based out of their office in the city. The contract will be outside of IR35 and the rate is in the region of £600 - £700 per day. Responsibilities: Delivering high-quality compliance oversight and challenge to the business and acting as the central point of contact for any compliance-related issuesEnsuring the firm’s policies and procedures are being communicated effectively across the organisation and employees are trained in appropriate compliance areas.Managing compliance systems and processes, across areas including AML, consumer credit and discretionary portfolio management. Proactively auditing these processes and providing ongoing assessments of areas for improvementResponsible for keeping up to date with regulatory developments, maintaining a strong relationship with the regulator and managing all reporting requirements.Review and sign-off financial promotionsSubmission of Regulatory ReturnsCollaborating with the product and development teams by providing compliance advice as we design and develop new products for the UK market Requirements: Significant Compliance experience ideally within a MiFID Investment Firm or Savings business.A strong understanding of the UK regulatory environment for investment, banking, and consumer lenders, including AML, information/security, etc.Experience of working within a smaller agile firms or ideally within a fintech and demonstrable experience of working with product and technology teams.The ability to communicate effectively with key internal and external stakeholders, including the regulator.High levels of integrity and a commitment to the establishing and maintai



