Compliance Manager

Salary: £20/Hour

About the Company is a UK-based fintech, we arrange peer-to-business lending, via an online platform.

Based in Leeds, our team is committed to connecting creditworthy borrowers with lenders, bypassing banks to give everyone a better deal.

About the Role

The Fintech industry is challenging and rewarding. We are a small, hardworking and friendly team of around 25 people and we take pride in our mission to deliver excellent financial service to our customers. Our compliance function contributes to the firm's quality control. Our vision is to deliver excellent service, so we regularly go beyond the minimum acceptable compliance requirement. Our policies and processes are designed to deliver excellent customer outcomes.

Candidates need to have worked in a compliance role and to have had at least three years experience of working in regulated financial services. Training will be provided, mostly on-the-job.

Key Duties

  • Maintain a Customer-Centric-Culture and individual accountability 
  • Oversee that the firm operates within the regulatory framework and policies
  • Maintain the Compliance Monitoring Plan and undertake policy reviews and audits in a timely manner
  • Apply critical thinking and provide challenge to consider risks and risk mitigation strategies 
  • Participate in Risk and Compliance Committee (RCC) meetings
  • Oversee and provide cover for client money reconciliation and transaction monitoring
  • Oversee compliant AML and KYC processes
  • Financial promotion reviews
  • Identify training needs and test staff competencies
  • Complaints handling
  • Identify and oversee the handling of vulnerable customers
  • Train and manage Compliance Coordinators and interns
  • Participate in Trade Association meetings
  • Horizon scanning for compliance changes, relevant guidance and participation with consultation papers
  • Prepare the compliance report section of the board report
  • Present to the board
  • Support the Head of Compliance and executive team members

Main Duties regarding Appointed Representatives (AR) and Loan Originators (LO)

  • Supervise and manage the conduct of ARs (spot checks & audits to ensure ARs are compliant) 
  • Maintain the AR Oversight Framework in conjunction with the RCC
  • Review AR / LO applications, interview applicants, prepare an suitability report to the RCC  
  • Onboarding new AR / LO partners
  • Review and carry out enforcement of infractions or other disciplinary action for misconduct or breaches of relevant compliance policies and processes.

Customer Support and Complaints Handling

  • Demonstrate empathy and support to customers
  • Review TCF compliance
  • Review performance reports from the customer support ticketing system
  • Assist with handling of difficult or complex support requests

Anti-Money Laundering

  • Review Anti Money Laundering controls and oversee firm and network compliance
  • Suspicious activity report preparation

Secondary duties

  • Support the team by providing cover for absence where necessary
  • Identify and support areas where the firm can improve/optimise reporting to help inform better decisions
  • Identify and support innovations and developments that improve the firm
  • Support internal communication and culture building
  • Management skills

Desirable skills or experience

  • Experience of working in a fintech
  • Small business experience
  • Management experience

Since founding in 2012 we have been at the forefront of p2p lending. Our innovations have lead our platform to be the one of the best in the industry, none this would of been possible without the hard work of our team. We'd love for you to join us.


Founder & CEO

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Come and work with us...

If you are interested in the Head of AR Compliance role, please complete the form below. The recruitment process will include an interview and a short english language and grammar test. No agencies please.

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