Keenan Recruitment has been retained to recruit for a full-time, permanent Compliance Manager.
Job Types
Pay
- £37,394.00-£45,294.00 per year
- Performance bonus
Benefits
Schedule
Experience
- Financial services compliance or consulting: 5 years (required)
Work Location
Application deadline: 12 noon on 16 April 2025
Expected start date: 28 April 2025
About the Client
A next-generation early-stage investment platform connecting startups with business angels, institutional investors, and, soon, retail investors. As they prepare to become FCA regulated, compliance is at the heart of their operations, ensuring a secure, transparent, and efficient fundraising ecosystem.
This firm will not hold client money directly; instead, they will be working with a third-party provider for transaction execution and fund management. However, regulatory oversight, investor protection, and financial promotion compliance remain critical to their success.
Role Overview
As Compliance Manager, you will be responsible for ensuring our client meets its regulatory obligations under FCA rules. While CASS compliance is handled by a third-party provider, you will oversee outsourced compliance, financial promotions, investor verification (KYC), and risk management across the business.
Key Responsibilities
Regulatory Compliance & Third-Party Oversight:
- Ensure the firm remains FCA compliant, with a focus on financial promotions, SMCR, NNRS, and NMPIs.
- Oversee third-party providers handling client money, ensuring they meet regulatory standards.
- Conduct due diligence and ongoing monitoring of external transaction partners.
KYC & Investor Verification:
- Lead Know Your Customer (KYC) processes, ensuring robust identity verification and risk assessment measures for investors and startups.
- Oversee third-party KYC providers to ensure compliance with AML regulations.
Financial Promotions Compliance:
- Review and approve all investment materials, ensuring they comply with FCA financial promotion rules.
- Monitor the platform for misleading claims, unverified financials, and risk disclosures.
Compliance Monitoring & Internal Policies:
- Develop and manage the compliance monitoring programme, ensuring all processes align with FCA regulations.
- Work across teams to maintain a strong conduct culture.
Training & Internal Compliance Awareness:
- Deliver regulatory and compliance training across the business, tailored to relevant teams.
- Ensure all employees understand compliance obligations and regulatory best practices.
Regulatory Reporting & Engagement:
- Regulatory reporting and maintaining relationships with the FCA.
- Ensure Senior Managers & Certification Regime (SMCR) compliance is maintained.
Regulatory Change & Business Adaptation:
- Stay ahead of FCA regulatory changes, particularly in early-stage investing, crowdfunding, and digital finance.
- Lead on new compliance projects, adapting the firms approach to evolving regulations.
Who You Are
We’re looking for a detail-oriented compliance professional with a strong understanding of FCA regulations and outsourced compliance oversight.
You Should Have:
- 5+ years experience in financial services compliance or consulting.
- Familiarity with crowdfunding and investment regulations.
- A self-starter and problem-solver mindset, capable of identifying and improving inefficiencies.
- Strong knowledge of FCA investment business regulations, including NNRS, NMPIs, SMCR, and COBS.
- Experience overseeing third-party financial services providers.
- Background in KYC, investor verification, and AML compliance.
- A track record of collaborating across teams to develop practical compliance solutions.
- Strong analytical skills, confident working with spreadsheets and numerical data.
- Fluent English writing and communication skills.
- Ability to manage multiple projects simultaneously in a fast-paced environment.
This is an exciting opportunity to join a fast-growing investment platform and shape our compliance function as we scale. If you have a passion for financial regulation and alternative investment markets, we want to hear from you!
Contact Aideen Duggan at Keenan Recruitment for a confidential chat.
Keenan Recruitment is an equal opportunity employer, acting as an Employment Business on behalf of our Clients for temporary work and an Employment Agency for providing permanent employment with our Clients.
Keenan Recruitment is proudly a Corporate Member of REC - 1 (Recruitment and Employment Confederation) adhering to all current employment legislation.