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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive expertise in financial services compliance and financial crime management, including Customer Due Diligence and regulatory oversight. Proven ability to engage with regulatory bodies, establish compliance frameworks, and lead training initiatives.
Highest-signal resume keywords
SMF16 Compliance OversightSMF17 Money Laundering Reporting OfficerCustomer Due DiligenceCOBS 9A Suitability RequirementsFCA Regulatory Engagement
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Financial Crime FrameworkRegulatory AdviceIntra-Group Agreement OversightHorizon ScanningRegulatory Change ManagementSuspicious Activity ReportingReliance ArrangementsThird-Party OversightAML PoliciesS166 Review
Soft Skills
Stakeholder ManagementRelationship BuildingIndependent OversightChallenge and Direct
Tools & Technologies
Aurora Advice EngineHouse Rules
Industry Keywords
Financial Services ComplianceMoney Laundering Regulations 2017Consumer DutySYSC 8UK Regulatory Standards
About the role
Key responsibilities & impact- Hold the SMF16 (Compliance Oversight) function, running MBSCL's compliance monitoring programme and regulatory advice
- Hold the SMF17 (Money Laundering Reporting Officer) function, owning MBSCL's Financial Crime framework and suspicious activity reporting
- Own MBSCL's Customer Due Diligence model under the Money Laundering Regulations 2017
- Direct and challenge MBSCL's co-sourced second line financial crime partner
- Provide independent compliance oversight and challenge of the intra-group agreement with DML
- Provide compliance oversight and challenge of controls around the Aurora advice engine and House Rules
- Provide compliance advice on COBS 9A suitability and Consumer Duty
- Report to the MBSCL Board, Audit & Risk Committee and Executive Committee on compliance and financial crime matters
- Act as MBSCL's primary point of contact with the FCA
- Lead horizon scanning, regulatory change and training for MBSCL
- Establish the compliance function and independent financial crime framework during the first six to twelve months
- Build working relationships with the co-sourced second line financial crime partner and outsourced internal audit provider
- Report to the MBSCL SMF1 for day-to-day business partnering, with direct accountability to the MBSCL Board and a dotted line to the VP of Risk and Compliance for the Moneybox Group
Requirements
What you’ll need- Minimum 10 years in financial services compliance and/or financial crime, including experience as, or working closely with, an SMF16 and/or SMF17 holder
- Direct experience of Customer Due Diligence, reliance arrangements (regulation 39 MLR 2017) and/or group-wide AML policies (regulation 20), ideally within a group containing more than one regulated entity
- Experience overseeing intra-group or outsourced arrangements with the rigour of third-party oversight; familiarity with SYSC 8 is a strong plus
- Strong working knowledge of COBS 9A suitability requirements and Consumer Duty (PRIN 2A)
- Experience supporting an FCA authorisation process, a skilled persons (s166) review, or comparable significant regulatory engagement
- Excellent stakeholder management skills, including direct experience reporting to Boards and Committees and interacting with the FCA
- Fluency in English
- Candidates must be based within the UK
- No visa sponsorship; overseas applications cannot be considered
- Satisfactory pre-employment checks, including criminal record and adverse credit history checks
Benefits
Comp & perks- Opportunity to join a fast-growing, award-winning and super ambitious startup
- Work with a friendly team of highly motivated individuals
- Thriving collaborative and inclusive company culture
- Company pension scheme
- Company bonus scheme
- Hybrid working environment
- Home office furniture allowance
- Personal Annual Learning and Development budget
- Private Medical Insurance
- Health Cash Plan - cashback on everyday healthcare like dental and opticians
- Cycle to work scheme - spread the cost of a new bike and accessories
- CycleSaver - save on bike-share subscriptions and have a more sustainable commute
- Wellhub subscription to a variety of gyms and wellbeing apps
- Enhanced parental pay & leave
- 25 days holiday + bank holidays with additional days added with length of service