A leading fintech company specializing in structured products seek a highly skilled and experienced Head of Compliance EU. Our client is known for its innovation and commitment to delivering cutting-edge financial solutions. As they continue to expand their operations across Europe, they are in search of a dynamic compliance leader with strong management skills to join their team.
Position Overview:
This pivotal role requires an individual with exceptional management skills, especially in the context of overseeing compliance across various jurisdictions in the UK & European Union. The successful candidate will collaborate closely with HQ leadership to design, implement, and manage compliance programs that span multiple EU regions, ensuring regulatory adherence and ethical standards are met consistently.
Key Responsibilities:
- Develop and maintain a robust and harmonized compliance framework across multiple EU jurisdictions.
- Stay abreast of evolving EU financial regulations, guidelines, and industry best practices, and ensure the company's compliance with these standards.
- Offer expert guidance on compliance matters, including product development, sales, and marketing activities, considering the unique regulatory landscape in each jurisdiction.
- Conduct comprehensive risk assessments and compliance audits to identify and mitigate potential compliance risks, tailoring strategies for each region.
- Cultivate a culture of compliance and ethics within the organization, collaborating with cross-functional teams.
- Act as the primary liaison with EU regulatory bodies, adeptly handling regulatory interactions and inquiries across various jurisdictions.
- Lead the implementation and oversight of the company's anti-money laundering (AML) and know your customer (KYC) procedures, considering regional nuances.
- Develop and deliver targeted compliance training programs for employees across different EU regions.
- Monitor and report on compliance metrics and incidents to senior management and the board, offering insights tailored to each jurisdiction.
Qualifications:
- Bachelor's degree in legal, economics or a related field. A legal background is a plus.
- Proven track record of 10+ years in compliance roles within the financial services industry, with an emphasis on multi-jurisdictional compliance management.
- Extensive knowledge of EU financial regulations and directives, including MiFID II, PRIIPs, and AML directives, across various European jurisdictions.
- Strong experience in designing and implementing compliance programs and policies that adapt to different regulatory environments.
- Exceptional communication and interpersonal skills, with a demonstrated ability to collaborate effectively across different regions.
- Advanced analytical and problem-solving capabilities, coupled with the ability to excel in a fast-paced environment.
- Prior experience in interacting with EU regulatory authorities across diverse jurisdictions is highly desirable.
- Fluency in English & German is required, other language skills are a big plus.
If you are interested in the position, please reach out to Matthew Carton at Selby Jennings.
