Senior Customer Compliance Oversight Officer

Railsr • London, CA

90d

About The Position

This is an exciting opportunity to join our growing Customer Onboarding and Oversight Team. We are looking for experienced individuals to help us manage our current portfolio of live customers and support our mission to continually enhance our oversight and monitoring processes, for our UK customers.

Requirements

• Strong leadership skills and a passion for sharing knowledge.
• Great interpersonal skills and ability to build strong relationships with clients.
• Ability to work autonomously and research new areas.
• Ability to interpret audit findings and communicate them effectively.
• Ability to influence stakeholders to agree and drive actions to completion.
• Strong analytical mindset for effective use of MI tools and data interpretation.
• Curiosity to challenge and improve ways of working.
• Ability to work effectively in a fast-paced environment and multitask.
• Experience in managing direct reports, including remote workers.
• Experience of working within a dynamic Compliance, Audit and Quality Assurance/Control function in a regulated environment.
• Understanding of UK regulations covering EMI, agents, anti-money laundering, fraud, terrorist financing, conduct, consumer duty and governance.
• Broad experience of compliance and/or audit, including risk based methodologies, risk assessment, risk management, controls, control effectiveness, and industry good practice.
• Excellent working knowledge of FCA, and KYB/KYC requirements.
• Experience in planning and implementing compliance and/or audit action plans.

Responsibilities

• Conduct monitoring and oversight activities on a portfolio of Agent/Distributors providing assurance that controls are operating effectively, while contractual and regulatory requirements are being met.
• Provide clear and concise reports on your findings, and escalate risks appropriately.
• Align with the Head of Oversight on the Supervision tasks in relation to different levels of review or action plans prepared for Agents/Distributors depending on the risk level.
• Provide recommendations that are pragmatic and address the root causes of the underlying issues identified.
• Assist in ensuring Railsr remains in line with regulations with every customer it supports.
• Complete internal investigations as directed by the Customer Due Diligence Manager, the MLRO or Chief Risk and Compliance Officer.
• Keep abreast of legal, regulatory, statutory, and internal requirements, as well as compliance control techniques and horizon scanning.
• Ensure Compliance and Quality Assurance Frameworks are updated to reflect any changes to contracts, guidance or as part of compliance monitoring and/or external audit findings.
• Improve existing Onboarding and Due Diligence processes to mitigate future risk.
• Evaluate the design, operational effectiveness and efficiency of processes, internal control systems and risk management activities.
• Act as the ‘compliance relationship point’ for your portfolio of clients.
• Lead in presenting any requested control changes, restrictions of other oversight related matters concerning your clients to the Customer Committee.
• Lead, mentor and assist the junior members of the team.

Benefits

• Help make amazing embedded finance experiences accessible to everyone.
• Build your career in an innovative, adventurous and inclusive environment.
• Competitive remuneration package with generous benefits and potential equity.
• Work with talented, passionate and supportive people in a flexible, hybrid environment.

What This Job Offers

• Career Level: Senior
• Number of Employees: 101-250 employees