Head of Compliance – FinTech Challenger Bank

Head of Compliance – FinTech Challenger Bank

Head of Compliance/Chief Compliance Officer – FinTech Start-Up

Our client is a pre-Series A FinTech start-up looking to add a Head of Compliance to oversee, manage, and scale the fraud, AML, and compliance functions and policies.

 

More about our FinTech client:

The company is a digital banking platform that launched to consumers in early 2020 and is close to finalizing their Series A raise (including support from familiar names like Barclays), which will allow them to offer new and innovative products to their growing customer base.

This FinTech start-up prides themselves on bringing together a diverse workforce from all over the world. The team is collaborative, innovative, and passionate about upending the traditional banking industry in the name of flexible, effective, and ultimately people-driven payment and banking options. They are searching for a like-minded Compliance professional with deep FinTech compliance knowledge who is excited about entering a company in the early stages and contributed to the growth and strategic vision.

Responsibilities of the Head of/Chief Compliance Officer:

  • Provide comprehensive oversight and ownership of company’s compliance program

  • Implement, develop, and grow internal compliance procedures, infrastructure, and controls, including AML/KYC/KYB/CIP, fraud and banking operations compliance programs

  • Analyze organizational structure and vendor relationships to increase company efficiencies and proactively identify regulatory risks and compliance concerns to pave the way for rapid growth

  • Manage all corporate compliance, such as state and federal regulatory exams and audits

  • Stay abreast of emerging technologies such as self-sovereign ID/ KYC, blockchain based ID / KYC and digital currency trends and banking

  • Manage investor due diligence reviews

  • Coach, develop, and grow a team of compliance professionals

  • This role will report to the CEO and serve as a strategic partner and trusted advisor to the business

 

Preferred Qualifications for the Head of Compliance Role:

  • 6+ years of progressive and comprehensive regulatory compliance experience and responsibility in the financial services or banking industry

  • 3+ years of experience serving in a leadership capacity within a compliance department, with the proven ability to initiate and drive projects to completion with minimal supervision

  • Comprehensive knowledge and experience of consumer compliance practices such as AML/BSA, CIP, KYC, CTF, OFAC, etc. (including credit/debit cards, mobile payments, remittances, etc.) and consumer finance laws

  • Deep understanding of Regulatory Compliance, Anti Money Laundering/AML, and fraud

  • Experience managing a team of compliance professionals

  • Proven ability to effectively develop and provide team-wide compliance training

  • Bachelor’s degree; law degree strongly preferred

  • Bonus points for prior experience in a FinTech start-up environment

  • Tech-savvy and innovative thinker who isn’t satisfied with the status quo

The client prefers that candidates be local to greater New York City area to optimize synergies when it is safe to do so.

Apply Now

Apply Now

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Are you interested, get in touch with:

Alison Prichard

ali@teampcn.com

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