Senior Compliance Specialist

Freetrade; London; On-site; GBP 47,000 - 70,000; Full time

Job summary

A leading technology company in London is seeking a Senior Compliance Specialist to ensure regulatory compliance in a growing team. The role involves offering expertise in regulatory matters, overseeing compliance processes, and working closely with diverse teams. Candidates should have 4-7 years of relevant experience and strong analytical and communication skills.

Qualifications

• 4-7 years of experience in retail investment firm, bank, regulator, or consultancy focused on regulation.
• Excellent knowledge of UK financial services regulations and retail investment products.
• Experience in managing teams or leading projects.

Responsibilities

• Provide compliance advice, support new product development.
• Lead compliance monitoring and testing to ensure regulatory adherence.
• Guide junior colleagues in regulatory processes.

Skills

Analytical skills

Leadership

Communication skills

Regulatory knowledge

Relationship building

Job description

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Senior Compliance Specialist - London

At Freetrade, we believe investing should be accessible to everyone. It’s one of the best ways to grow your savings but, for many, it seems complicated, expensive, and out of reach. We’re here to change that.

We're a technology company that brings simple investing to everyone. We’ve built a beautiful app to buy and sell shares and ETFs in a fluid, mobile-first experience.

We’re building a team with diverse and unique perspectives to help us on our mission to demystify investing. Our goal is to help our customers achieve better, long-term financial outcomes.

In 2024, we’ll be launching across the EU, following our successful launch in Sweden. We’ll also be transforming our product, developing new features, and introducing new products. In the UK, we now have over 1.6m registered users, offering products like the Freetrade Pension, a stocks and shares ISA, and our premium plan, Freetrade Plus.

Our growth is backed by over 15,000 crowdfunding investors and renowned growth investors including Left Lane Capital, Molten Ventures, and L Catterton.

We are seeking an exceptional Senior Compliance Specialist to join our team. You will work closely with all areas of our business to provide compliance advice, support new product development, work on projects, execute compliance processes, and undertake monitoring and testing. Our team’s key objective is to ensure the business operates compliantly while achieving good outcomes for clients. As a young, growing company, the Compliance team covers a wide range of regulatory topics in a fast-paced environment.

Department:

Risk & Compliance

Employment Type:

Permanent - Full Time

Location:

London (Onsite)

Compensation:

£47,000 - £70,000 / year

You will:

• Provide advice on BAU issues and new product lines/services.
• Lead priority business and compliance projects, offering regulatory guidance and challenge.
• Lead compliance monitoring and testing to ensure regulatory adherence.
• Provide regulatory training across business areas.
• Prepare for and respond to regulatory changes and engagements.
• Execute ongoing compliance processes and controls.
• Guide and oversee junior colleagues in the UK, Sweden, and Hungary within the Global Compliance function.

About you:

• Excellent knowledge of UK financial services regulations and familiarity with retail investment products.
• Experience working with UK retail financial services regulated firms, especially retail broking or wealth management.
• Quick learner with strong analytical skills and a track record of making impactful contributions.
• Understanding of the Consumer Duty and regulator engagement experience is a plus.
• Experience managing teams or leading projects.
• Fluent in English with excellent communication skills.
• Ability to build relationships and influence colleagues.
• 4-7 years of experience in a retail investment firm, bank, regulator, or consultancy with a regulatory focus.

Benefits: