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Compliance Manager

Legal & Regulatory London

About us

We’re a bunch of techies, creatives and friendly finance folk, who’ve run our own businesses and side gigs – and helped others do the same. So we’ve come together, with Santander’s backing, to shake things up.

What if doing expenses from paper receipts was as simple as snapping a selfie? And you could get a clear view of your finances with a simple heads-up?

We’re here to save you time. Cut headaches. Smooth hassles. To make repetitive admin, endless paperwork, and tedious typing into spreadsheets, a thing of the past.

So we’ve created a place – for quick answers and inspiration. Business owner to business owner. A growing resource from people who go through the same as you.

And we’re making an app – your pocket business helper. Always on hand to make working life simpler.

The Role

Play a central role in supporting Asto’s compliance function, delivering sound and trusted core compliance support.

Key Responsibilities

  • Provide compliance oversight, advice and guidance to all areas of the business, including consumer credit lending and payments (PSD2) services, new product approval processes, financial promotions and customer outcomes related support
  • Support the business’s conduct and compliance policy framework, ensuring appropriate assurance activity and identification/escalation of risk issues/events
  • Support on-going policy review and development and conducting/overseeing related training programmes
  • Maintain a high level of knowledge and competence on compliance and regulatory matters, including appreciation of emerging “RegTech” solutions
  • Advise and escalate relevant matters and support frequent report production
  • Support open and effective communication with regulators
  • Monitor and track developments, emerging risks, best practice and changes in legal and regulatory requirements and their implications for the business’s approach to conduct and compliance and wider risk management and control.

Experience

  • Solid technical knowledge and operational experience of regulatory regime for UK SME banking products, including CONCs, FCA and FOS requirements
  • Experience of direct liaison with both the FCA and FOS;
  • Sound knowledge of financial services innovation, including emerging regulations impacting open banking
  • Track record of preparing Management Information (MI) reports with relevant data to aid management decision-making and in conducting effective assurance activities

Personal Skills

  • Ability to challenge existing policies, processes and frameworks and influence internal and external stakeholders
  • Excellorator
  • Exceptional communicator
  • Flexible approach
  • Strong organisational skills to operate effectively in a fast-moving and dynamic environment.

Qualifications

  • Degree level education. ICA qualifications helpful (though not essential)