About the Role
This role involves monitoring and managing compliance for appointed representatives, ensuring alignment with UK financial regulations, and supporting internal and external audit requirements.
Compensation
Competitive salary and benefits package
Work Arrangement
Remote within the UK
Team
Compliance team supporting financial regulation and oversight
Responsibilities
- Monitor ongoing activities of appointed representatives to ensure compliance with FCA rules.
- Conduct regular reviews of representative documentation and regulatory filings.
- Assist in onboarding new appointed representatives with due diligence checks.
- Identify and escalate potential compliance risks or breaches.
- Maintain accurate compliance records and internal reporting systems.
- Support responses to regulatory inquiries or audits.
- Collaborate with legal and risk teams to interpret regulatory changes.
- Provide compliance training and guidance to internal stakeholders.
- Track regulatory developments affecting appointed representatives.
- Ensure policies and procedures are up to date and properly implemented.
- Evaluate third-party compliance performance and recommend actions.
- Draft compliance reports for senior management review.
- Manage relationships with external compliance consultants as needed.
- Assist in developing compliance frameworks for new business initiatives.
- Monitor financial promotions for regulatory compliance.
- Review contracts and agreements for compliance implications.
- Support incident management processes for compliance breaches.
- Maintain oversight of representative authorizations and permissions.
- Conduct periodic risk assessments on representative portfolios.
- Ensure timely submission of required regulatory notifications.
Requirements
- Bachelor’s degree in law, finance, business, or a related field.
- Proven experience in financial compliance or regulatory affairs.
- Familiarity with FCA regulations and the appointed representatives regime.
- Knowledge of MiFID II, COBS, and other relevant UK financial rules.
- Strong understanding of anti-money laundering principles.
- Experience in a financial services or fintech environment preferred.
- Ability to interpret complex regulatory texts accurately.
- Excellent written and verbal communication skills.
- Detail-oriented with strong organizational capabilities.
- Proficiency in using compliance and case management systems.
- Ability to work independently and manage multiple priorities.
- Experience conducting compliance monitoring or audits.
- Understanding of risk-based supervision approaches.
- Willingness to stay current with regulatory updates.
- Professional certification such as ICA or CISI is a plus.
- Experience with regulatory reporting tools.
- Ability to explain compliance requirements clearly to non-experts.
- Track record of maintaining confidentiality and integrity.
- Problem-solving skills with a proactive mindset.
- Commitment to ethical standards in financial services.
Preferred Qualifications
- Relevant compliance certification (e.g., ICA Diploma).
- Direct experience managing appointed representatives.
- Working knowledge of RegTech tools.
- Experience in a fast-growing fintech company.
- Familiarity with prudential and conduct regulation.
- Background in compliance operations or supervision.
- Exposure to cross-border financial regulations.
- Prior involvement in regulatory change projects.
- Strong project management abilities.
- Experience supporting internal audits.
Not available
