We are delighted to be working with a newly established fintech company based in the heart of Edinburgh with the purpose to make property investments simple and accessible, offering options and financial freedom for those who have been historically excluded from the market.
The responsibilities for this role combine both operational and strategic objectives, supporting the future growth of the business with compliance at its core as the business grows.
- Collating data for RegData returns
- Ensure all platform transactions are completed efficiently and correctly.
- Ensure that client user profiles are categorised correctly during Client Due Dilligence.
- Ensure Due Dillicence files on clients and vendors are complete, and up to date.
- Updating and improving various compliance policies and registers on an ongoing
- Ensuring the firm complies with all regulatory requirements, policies and standards.
- Assist in managing regulatory compliance risk.
- Completing monthly compliance reports.
- Assist in ensuring a culture of compliance & good conduct is communicated
- throughout the firm.
- Assist in creating scalable compliance procedures and practices that will allow
- effective growth within the company.
- Assist in building a compliance division within the firm.
- Assist in various development projects to ensure that they remain compliant in line
- with our permissions.
- Assist in identifying and applying for future permissions from the FCA.
- Assist in building compliance procedures for the SEC.
Requirements and Desirables:
- Experience in an FCA regulated environment
- Proactive approach to problems and presenting solutions
- Strong interpersonal skills
- Experience in Financial Crime and Fraud Prevention activities (desired)
This is the first appointment for the company within their Compliance Team, and as such presents an excellent opportunity for individual growth and development.