Compliance Officer - £70k

  • £60-£70k
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Holmes Search
  • 08 Aug 18 2018-08-08

Fantastic opportunity to join a Dutch FinTech firm and be their main point of contact for Compliance and shall be registered with the FCA as a CF 10 and CF 11.


 What you’ll be doing

  • Provide compliance advice, guidance and support to the UK business;
  • Manage the day-to-day operations of the compliance program, conducting periodic compliance reviews and providing reports;
  • Execution of compliance monitoring and testing activities (AML, KYC, Market Abuse) controlling, identifying and reporting on issues and exposures. Driving closure of compliance monitoring report recommendations to resolution;
  • Draft, review and revise Compliance policies and procedures to ensure that practices remain compliant with all current laws, regulations and client contracts;
  • Plan, prepare and conduct continuing compliance training to staff;
  • Preparation of various regulatory registrations, reporting and returns to the FCA within set time frames including controller reports, approved persons application, etc.


  • At least 6 years PQE in a compliance role in the financial industry, preferably asset management; 
  • A very good understanding of the legal and regulatory compliance processes associated with the financial industry (asset management) and FCA regulations;
  • The ability to effectively balance compliance and commercial considerations;
  • The  ability to prioritise and focus easily in this ever changing world;
  • You can take us and our clients on a journey to delivering a modern, digitalised and compliant solution and services, you are someone who stands his/her ground.


  • Managing conflicting priorities is crucial in such a broad role. Building effective working relationships and having strong interpersonal skills will help ease a lot of this right from the start;
  • Change is a constant factor – you need to be able to handle this;
  • We have high expectations of you and we expect you to get the job done;
  • We’ll support you and mentor you, but there isn’t much room for hand holding here. Your focus is execution and you have the ability to start things without much guidance.


  • First point of contact for Compliance! Expect full ownership! From you we expect delivery and focus. You get things done!
  • Execution and being compliant are essential, following others is not! We want to go above and beyond – set a new standard. You’re curious and have initiative to investigate;
  • We’re consistently breaking new ground and we’ll need you to be consistently enthusiastic about it. Savviness to learn and adapt to a fast-moving environment. When things change you’ll be ready in the front line!


  • Enrolment in our competitive workplace pension;
  • Free access to our yoga and meditation classes at the office;
  • Working in our beautiful new office, smack in the middle of Shoreditch with a meditation pod, and a chill-out hammock.

This is a full-time permanent role.