The opportunity to build a legacy, this will involve establishing and implementing the compliance function for a Fintech challenger Bank with a twist.
Duties include, but not limited too:
● Overseeing compliance, ensuring compliance with laws, regulatory requirements, policies and procedures;
● Establishing standards and implementing procedures to ensure that the compliance program is effective and efficient in identifying, preventing, detecting and correcting non-compliance with applicable laws and regulations;
● Defining the necessary level of knowledge on existing and emerging regulatory compliance requirements;
● Developing an annual compliance plan work plan, periodically revising in light of changes;
● Developing the compliance team;
● Overseeing and monitoring the implementation of the compliance programme;
● Providing guidance, advice, and/or training to improve business understanding of related laws and regulatory requirements;
● Providing strategic direction to Management on compliance;
● Preparing and presenting clear and concise compliance reports to the Board;
● Interaction with Regulators on compliance issues;
● Oversee the development and execution of compliance risk assessment;
● Coordinating internal compliance reviews (desk-top reviews) and monitoring activities (market abuse and insider trading);
● Independently investigating and acting on matters related to compliance;
● Coordinating efforts related to audits, reviews and examinations;
● Oversee all regulatory reporting process for compliance ensuring adherence with regulations and regulatory expectations;
Charles Levick Limited are a leading global financial recruiter providing innovative solutions across Capital Markets, Financial and Professional Services organisations. Founded in 2008, Charles Levick is privately owned and operates from offices based within the City of London and New York.
A truly independent company with a global reach, we pride ourselves on delivering honest and intelligent guidance developing long term sustainable relationships. Our breadth of expertise and services allow us to deliver solutions across our sectors ranging from junior analyst through to C-Suite requisitions, all delivered with exceptional levels of attention to detail and service that have helped us to grow into the organisation we are today.
We have managed to build an enviable reputation partnering a diverse range of large and small organisations initially within London, but now globally, actively supporting clients across Europe, Asia and the US. With decades of experience, we have been able to develop a substantial knowledge of our markets as well as building loyal relationships with our clients and candidates.
Our business is devised of 5 core areas of specialisation: