Compliance and Supervision Manager - Resolution

  • Location

    United Kingdom

  • Sector:

    Compliance & Financial Crime

  • Job type:


  • Salary:

    £55k per year

  • Contact:

    William Tang

  • Contact email:


  • Contact phone:


  • Job ref:


  • Published:

    2 days ago

  • Expiry date:


  • Consultant:

    William Tang

As part of continued growth and success, a fintech-focused consultancy firm is looking for an experienced compliance manager to assist with the following;

  • Advise stakeholders on regulatory obligations and FCA requirements in line with different clients across corporate finance, p2p lending, consumer credit, crowd-funding and more
  • Recommend and implement changes to strategy/plans/programmes and policies
  • Supervisory visits to clients as appointed representative firms
  • Provide audit reports and perform relevant checks
  • Financial Promotions approvals, Financial Crime prevention policies, Conflicts of Interest, staff training and more

Ideal candidates will have strong background and understanding of;

  • Investments, Fintech, Compliance Advisory/Oversight/Monitoring/Supervision of regulated investment firms
  • FCA handbook (SYSC, COBS, RAO etc) and other regulatory processes including AML and Audit
  • Strong communication skills and stakeholder management experience

Type: Permanent, full-time

Location: London, City

Salary: £50k base + benefits

Please note, all applicants must be eligible to work in the UK without visa sponsorship as this will not be provided on this occasion.