ISA/FCA Regulatory Compliance Officer (Remote-Friendly)

Plum Fintech; City Of London; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

A fintech company in London is seeking a Regulatory Compliance Officer to enhance their compliance culture and support regulatory requirements. The ideal candidate will have 2-3 years of experience in compliance within financial services, specifically in overseeing ISAs and investment products. This role involves developing compliance policies, conducting risk assessments, and liaising with regulatory bodies. The company offers flexible remote working, competitive perks, and a vibrant company culture.

Benefits

Stock options

Private health insurance

Annual training budget

Plum Premium for free

Flexible remote working

Team breakfasts and lunches

25 days holiday + bank holidays

45 work-from-anywhere days

2 weeks sabbatical after 4 years

Enhanced parental leave

1 paid volunteering day annually

Annual team trip

Inclusive company culture

Qualifications

• 2-3 years of experience in a compliance-related role within financial services.
• Familiarity with FCA rules and HMRC ISA Regulations is essential.

Responsibilities

• Develop and assist in compliance policies and procedures.
• Conduct compliance checks and risk assessments.
• Provide oversight of ISA and investment product operations.
• Investigate compliance escalations and prepare compliance reports.

Skills

Experience in compliance monitoring

Demonstrable experience in oversight of ISAs

Excellent written and verbal communication skills

Strong analytical skills

Ability to work independently and in teams

Ability to prioritize tasks

Education

Bachelor’s degree in law, economics, business or related field

Professional certification in compliance (ICA or CISI)

Job description

A fintech company in London is seeking a Regulatory Compliance Officer to enhance their compliance culture and support regulatory requirements. The ideal candidate will have 2-3 years of experience in compliance within financial services, specifically in overseeing ISAs and investment products. This role involves developing compliance policies, conducting risk assessments, and liaising with regulatory bodies. The company offers flexible remote working, competitive perks, and a vibrant company culture.