Compliance Officer, Us - New York, United States - Raisin
Description
Your ResponsibilitiesAs our US Compliance officer, you'll be the lead for compliance in one of our fastest-growing and dynamic teams.
You'll lead our independent function in the US and report into our Compliance team based in Head Office, but will work closely with the US executive team, acting as the first point of contact for US compliance and risk topics and acting as the lynchpin in our "second line of defence" for the US business.
You'll be an experienced (6 years plus) Compliance professional with a background experience in financial services or an allied industry, now looking to make a move into the FinTech world and keen to grow your skills as a compliance officer across a range of areas.
You're a future leader with the ability to communicate clearly and confidently; able to persuade, support and advise all levels both internally and externally.
Here are some of your core responsibilities:
- Regulatory Compliance: working with our General Counsel and keeping abreast of evolving regulatory requirements in the US, especially those relevant to fintech and banking. This could involve interpreting and implementing new regulations, ensuring that the company's processes and policies are in compliance, and liaising with regulatory bodies as needed.
- Risk Management: playing a critical role in identifying, assessing, and mitigating compliance risks. This could include developing risk management strategies aligned with our group approach and reporting on risk assessments.
- Compliance leadership: promoting a culture of compliance within the organization. This could involve regular updates and training sessions for staff on compliance matters and ethical conduct.
- Compliance Audits and Inspections: conducting or overseeing regular compliance audits and inspections, ensuring that any deficiencies are addressed promptly.
- Incident Response and Reporting: following processes for responding to compliancerelated incidents, including investigation, reporting, and resolution, in collaboration with legal or other relevant departments.
- Onboarding Banks
- Research on prospects, PEP/Sanctions checking and screening, negative media searches, preparation of reports (mainly US).
- Monitoring Banks updates to reporting, screening and searches (mainly US).
- Other Commercial partners (B2B etc) possible compliance reporting.
- Vendor Management
- Overview of helpdesk and compliance screening. Supporting colleagues with submission of checks and Due Diligence, especially at NDA stage. Maintenance of records and ensuring we have accurate and insightful reporting on our vendors' performance from business owners.
- Critical Vendors ensuring annual checks are carried out, liaising with InfoSec and Data Protection to support checks.
- Assistance with policy maintenance and review, including assisting with e.g. Conflict Of Interest and Gift registers.
- Assistance with the preparation and delivery of reporting to committees and annual reporting, particularly for external audits. Ability to provide both quantitative and qualitative analysis is critical.
- Support of the US team on daytoday basis, working closely with Chief of Staff, General Counsel and COO.
- Background (i.e. degree and/or work experience) in regulation, risk management and/or compliance within the Banking or Finance sectors.
- Degreelevel education in the above mentioned fields, or relevant industry experience of at least 6 years. (Master's not necessary but highly desirable).
- Experience in procurement, contract and/or vendor management would be a bonus.
- Able to support team working US East Coast working hours where necessary. If based in NY, willing to work in the office 2 days per fortnight (Monday and Wednesday as designated "in office" days).
- Able to deliver highquality insight and reporting in slides, word document or table formats without too much additional training.
- Experience of key tooling used in Fintech (or ability to get up to speed) with e.g. Looker, Jira, Confluence, GRC tooling and CRM tooling such as Zendesk.
- Fluency in English (written/spoken), other relevant languages are welcome.
- We will support additional training for relevant qualifications within the range of requirements of the role (investments, securities, etc.).
At Raisin, we care about each other and it is one of our top priorities to foster an open and caring environment in which everyone feels welcome and comfortable.
As part of our US team, you will benefit from:
- Flexible working hours and 28 vacation days.
- Personal training budget of $2,000 and 4 full training days per year.
- Access to Babbel for continuous learning.
- Company 401k contribution of 5%.
- Healthcare coverage contribution, including medical, dental and vision.
- Commuter benefits and flexible working
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