We’re looking for a Senior Compliance Associate to provide support to our Compliance Team. You'll work with all areas of the business to help ensure that Seedrs complies with applicable laws and regulations, and to support our commercial teams in navigating the world of regulated financial services. There is a real opportunity to develop in this role, and your career in compliance , FinTech and the broader financial services industry.
What you’ll do
This is a varied role which will provide you with exposure to all areas of the business:
- You’ll be a first point of contact across the business for compliance issues, including financial promotions, complaints, regulatory change and client money and assets.
- You’ll perform compliance monitoring activities across the business, including client money and asset reconciliations. This will mean you need to develop a commercial understanding of each team and communicate effectively with people in other business functions.
- You’ll deliver regulatory and compliance training across the business that will focus on various teams, products and regulations. You will take the findings from your compliance monitoring activities to determine training needs.
- You’ll support the Compliance Director in maintaining our relationship with the regulators by completing FCA reporting, working with the company’s approved persons, and keeping up with regulatory updates.
- You’ll lead on new regulatory projects impacting the business, such as responding to changes in the crowdfunding regulatory regime and working with HR and executive management on implementing the Senior Managers Regime.
- You’ll support our Product, Design and Development Teams in ensuring new and existing products are both compliant and able to optimise their impact within regulation.
Who we’re looking for
You will have had experience within a financial services business, or you may have provided a consulting service to a business requiring financial compliance advice. We’re looking for:
- A self-starter and a problem-solver - we want you to be able to use your initiative to improve inefficiencies in the compliance function and collaborate with teams across the business.
- Knowledge and understanding of FCA requirements, and some experience of working in a professional environment.
- Someone with a genuine interest in the industry and with an enthusiasm for the changing landscape of alternative finance and how that is regulated.
- Excellent analytical skills and comfortable working with numbers, you’re not afraid of spreadsheets.
- Fluent in English with excellent writing and communication skills.
- Adaptive to a fast-paced and dynamic environment, you will be able to manage your own time, and work on a number of projects and tasks at a time.