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Compliance Officer for Non Regulated Tech Start-Up - Banking or Asset Management Experience Required

£75K - £100K + Bonus & Equity Participation | London
Ref: 3613G

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our Client, one of the UKs fastest growing Tech start-ups providing research capabilities to the Financial Services sector, is looking to appoint their first Compliance Officer given their involvement with a highly regulated area (although not themselves regulated). You will be tasked with growing the compliance function and as part of the senior management team you will be instrumental in advising the business on their ongoing and changing compliance and ethics obligations as the business grows.  Reporting to one of the founding Partners, duties will include:

• Work with compliance consultants to tighten and build upon current compliance policies.
• Oversee current compliance processes which include background checking of consultants, onboarding clients, monitoring day to day operations and supporting any compliance related matters that occur on a day to day basis
• Producing reports in a timely manner, clearly identifying issues and required actions
• Proactively identifying and assessing compliance related risks and supporting to minimize these risks
• Working with the founders to conceive and build upon compliance platform and advice on ongoing product development and enhancement.
• Hire, build and motivate a team spanning multiple continents
• Be a firm yet positive influence on your more junior colleagues helping them build their professional skill set.

The successful candidate is likely to have gained at least five years experience within the compliance function of a regulated financial services business, preferably banking or asset management, with a strong knowledge of the FCA Rules. You will also have a good awareness of EU regulations and either knowledge of the US regulatory structure or willingness to pick it up quickly. Also as this is an AI / IT Based Platform Business, an understanding of IT and the desire to work in a fast paced and ever changing environment is necessary.

While the business is experiencing unprecedented growth and investment interest, like any business in the start-up phase costs are a major factor, thus whilst my client is looking for an experienced and ambitious compliance officer they are restricted on offering high base salaries but do offer very good equity participation in what is a first mover in their space with great future growth projection. 

This really is one of those once in a career opportunities to join a business that is going places in a senior equity participation role. So, if you are looking to move to an exciting fintech entrepreneurial business at an exciting time of their growth and development in a very visible and responsible role, then please contact Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to

Symes Collins – Part of the Compliance Recruitment Solutions Group

We are acting as an employment agency in relation to this role. 

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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