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Hybrid Compliance Officer

at Plum
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Posted 3 weeks ago

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About the role

  • Develop and assist in the implementation of compliance policies and procedures by engaging in drafting and/or updating them to ensure adherence to all applicable regulations.
  • Conduct checks, risk assessments and assist in the production of compliance reports, in accordance with our Compliance Monitoring Programme to ensure regular reviews and assessments.
  • Execute checks in connection with Consumer Duty and support the build-out of the firm’s Consumer Duty framework.
  • Provide oversight of ISA and/or investment product operations to ensure adherence to UK regulatory requirements, including FCA rules and HMRC ISA Regulations.
  • Review marketing, advertising and press material to ensure they comply with regulatory requirements.
  • Design and monitor the implementation of the annual compliance plan, and deal with internal ad-hoc compliance requests to ensure that internal processes and policies are applied.
  • Investigate from a compliance and financial crime perspective, any SARs escalations, complaints, incidents, breach of data laws, fraud-related requests and any other compliance or financial crime related request received by the Compliance Team, for review and input.
  • Prepare compliance reports addressed to the regulators to support the Compliance Team in their role as a liaison between the company and regulatory bodies.
  • Compile and prepare compliance and financial crime regulatory filings and respond to requests from our partners.
  • Prepare compliance training addressed to the employees of the company.
  • Maintain the Compliance Team’s files, cases and issues, achieve deadlines and document actions needed/requested.
  • Share knowledge and experience with peers through team meetings, presentations and collaboration sessions.
  • Work cooperatively with other teams such as the Products’ Team, Customer Service, Fraud Team, Finance Team, Data Team, Risk Management Team, Partnerships’ Team and Marketing Team.
  • Monitor regulatory changes, amendments, trends or any other developments that may impact our operations and update internal records accordingly.

Requirements

  • Bachelor’s degree in law, economics, business, or a related field. MBA or Master’s degree in Law/European Banking/Payments Regulation, Risk Management or in related fields will be considered a strong plus.
  • At least 2–3 years of experience in a compliance-related role within the financial services industry. Relevant sectors include: Payments, Banking, Investment Services.
  • Demonstrable experience in the oversight of ISAs and/or investment products in the UK, with a strong understanding of relevant FCA rules and HMRC ISA Regulations.
  • Knowledge of FCA and EU compliance and AML/TF regulation, including GDPR and investment services regulation.
  • Experience in compliance monitoring, including designing and delivering against a compliance monitoring plan, will be considered a strong advantage.
  • Excellent written and verbal communication skills in English.
  • Strong analytical skills and attention to detail.
  • Ability to work both independently and in a team environment, to complete assigned tasks.
  • Ability to prioritise multiple tasks and bring tasks to completion within established timeframes.
  • Professional certification in compliance (such as ICA or CISI) will be considered an advantage.

Benefits

  • Own part of the company you're helping grow through stock options
  • Private health insurance
  • Annual training budget
  • Plum Premium for free
  • Competitive referral scheme
  • Flexible approach to remote working: we encourage at least 2 days a week in one of our beautiful offices in London, Athens or Cyprus
  • Team breakfasts and team lunches
  • 25 days holiday + bank holidays
  • 45 work-from-anywhere days to give you flexibility to work your way
  • 2 weeks sabbatical after 4 years to take the break you deserve
  • Enhanced parental leave
  • 1 paid volunteering day annually
  • Annual team trip to a surprise destination!
  • A fun, inclusive company culture (think 🦄🌈💯)

Job title

Compliance Officer

Job type

Full Time

Experience level

JuniorMid level

Salary

Not specified

Degree requirement

Bachelor's Degree

Location requirements

HybridLondonUnited Kingdom

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