Compliance Officer and MLRO

Roots Funding Ltd; Greater London; Remote; GBP 60,000 - 80,000; Full time

Job summary

A global investment platform is seeking a Compliance Officer & MLRO to ensure regulatory compliance and manage AML/CTF frameworks. This role involves overseeing compliance policies, conducting investigations, and engaging with stakeholders. Ideal candidates should have over 3 years of experience in compliance within financial services and a strong grasp of UK regulations. This position offers remote work flexibility, allowing you to make a significant impact in a tech-driven firm.

Benefits

Remote work option

Career growth opportunities

Collaborative environment

Qualifications

• 3+ years' experience in compliance, AML/CTF, or regulatory roles within financial services.
• Proven experience in or readiness for SMF16/17 responsibilities.
• Strong understanding of UK regulatory landscape.

Responsibilities

• Act as SMF16 and SMF17 for the firm, ensuring compliance with FCA regulations.
• Oversee AML/CTF policies, monitoring, testing, and reporting.
• Conduct investigations and liaise with regulatory authorities.

Skills

Compliance experience

AML/CTF knowledge

Analytical skills

Stakeholder engagement

Communication skills

Job description

About Us

Roots Funding ("RF") is a global investment and fundraising marketplace connecting high-potential startups, SMEs, and ventures with investors worldwide. Our mission is to democratize access to private markets across sectors like fintech, medtech, space-tech, and real estate - fostering growth through innovative equity and debt solutions.

The Role

We are seeking an experienced Compliance Officer & MLRO (SMF16/17) to join our global team. You'll play a key role in ensuring regulatory compliance, managing AML/CTF frameworks, and strengthening our governance processes as we scale internationally.

Key Responsibilities

• Act as SMF16 and SMF17 for the firm, ensuring compliance with FCA and relevant global regulations.
• Oversee AML/CTF policies, monitoring, testing, and regulatory reporting.
• Lead compliance risk assessments and support the development of internal controls.
• Advise business units on regulatory changes and ensure adherence across operations.
• Conduct investigations, submit SARs, and liaise with regulatory authorities.
• Build strong relationships with stakeholders and champion a culture of integrity.

What We're Looking For

• 3+ years' experience in compliance, AML/CTF, or regulatory roles within financial services.
• Proven experience in or readiness for SMF16/17 responsibilities.
• Strong understanding of UK regulatory landscape and best practices.
• Excellent analytical, communication, and stakeholder engagement skills.
• Proactive, detail-oriented, and capable of working independently in a fast-paced environment.

Why Join Us

• Work remotely with the option of our London office.
• Make a direct impact in a high-growth, tech-driven investment platform.
• Collaborative, global environment with opportunities for career growth.

The content of this page has not been approved by an authorized person within the meaning of Financial Services and Markets Act 2000. Reliance on this promotion for the purpose of engaging in any investment activity may expose an individual to significant risk of losing all of the property or other assets involved.