THE COMPANY:

Our client is a dynamic and innovative investment platform in the FinTech sector, poised for exciting growth. They are seeking a Junior Compliance Officer to help enhance their compliance functions and grow with the company.

THE ROLE:

As a Junior Compliance Officer, you will:

• Assist with the approval of financial promotions and resolve customer complaints.
• Support transaction reviews and handle onboarding queries for new clients.
• Help complete sections of RegData reports and Connect applications as necessary.
• Participate in the implementation of the Compliance Monitoring programme, which includes checks on best execution and monitoring financial promotions.
• Assist in updating company policies and procedures, and support the delivery of regulatory training sessions.
• Keep abreast of regulatory changes and assist in integrating this knowledge into company policies.
• Contribute to the development and implementation of compliance controls and processes, ensuring adherence to regulations such as FCA compliance, AML/CTF, and others.
• Work collaboratively with the Compliance team to support an effective compliance framework.
• Engage with various departments, including AML Finance, Risk, Product, Tech, and Sales and Marketing, to uphold compliance standards.
• Support initiatives to promote a compliance-focused culture that prioritises consumer interests.
• Assist in the development of compliance processes that align with both business needs and regulatory demands.
• Support risk-based compliance programmes that protect consumers and comply with financial crime regulations.
• Help prepare reports for management and the Board on compliance issues, identifying and highlighting any significant risks.

EXPERIENCE & QUALIFICATIONS REQUIRED:

Recent graduate or someone with up to 1 year of experience in compliance, finance, or a related field.

Basic understanding of compliance practices and UK regulatory frameworks and working towards FCA/PRA or AML certification.

Keen interest in FinTech and a strong desire to learn and grow within a start-up environment.

Familiarity with regulatory guidelines such as the FCA handbook is an advantage.

Excellent communication and collaboration skills, with a proactive approach to problem-solving.

BONUSES AND INCENTIVES:

Performance Bonus: Eligibility for annual performance-based bonuses, reflecting individual contributions and company success.

Equity Options: Opportunity to receive equity options as part of compensation, aligning your success with the company’s growth.

Wellness Benefits: Complimentary gym membership and wellness programmes to promote work-life balance.

Flexible Work Arrangements: Options for remote work and flexible hours to support personal needs and productivity.

This role is ideal for ambitious graduates eager to start a career in compliance within the FinTech industry and contribute to a growing business.