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Head of Compliance | FinTech | Equity

Head of Compliance | FinTech | Equity | Bristol

Head of Compliance required by FinTech start up in Bristol that are developing a next generation web platform for investment businesses.

You will be part of the team right from the beginning – a unique opportunity. Reporting to the COO and board you will need to be strong, competent and 100% confident in your own abilities to deliver against set milestones. It is a challenging position at an Executive level and successful candidates will be expected to gain CF10 and CF11 status when the platform applies for Part IV regulatory authorisations. Initially this role will be UK based, but longer term we would wish to incorporate overseas activities.

The Head of Compliance and Risk will be tasked with supporting the CEO/COO and the Board and to ensure an effective control and compliance with all regulatory aspects relating to my client’s business. It’s important to understand this is a start-up business, this means everything is being built from scratch, it is an exciting opportunity for the Head of Compliance to build and maintain the businesses regulatory controls and functions from a completely blank canvas an make it their own.

Experience required includes:

  • Establishing process, controls (both risk and compliance) and governance for the platform and the business as it as it develops.
  • Designing, developing and implementing all compliance standards, policies and procedures within the business. And ensuring these are reflected and accommodated as part of the Platform build and design.
  • Apply for and co-ordinate Part IV permissions to ensure FCA authorisations.
  • Ownership and control of the compliance and risk management strategies. Working with the development team on ensuring regulation is encompassed with input and ideas on how to automate it within the Platform where possible.

Given the seniority of this role, equity is on offer alongside an excellent package. Please contact me for further details on 01173 637404 / marius@

Job Information

Job Reference: Brs15052019_1557937216
Salary From: £60000
Salary To: £80000
Job Industries: Financial Services
Job Locations: Bristol
Job Types: Permanent

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