Senior Compliance Officer

Job Description

Job Outline:

We are looking for a Senior Compliance Officer to join our growing and busy team. As Senior Compliance Officer, you will work closely with the General Counsel in the oversight of Crowdcube’s compliance with its regulatory obligations, including working across all key company compliance areas, including due diligence standards and requirements, internal controls and policies, AML, data protection and the senior company manager regime. This role can be based out of our Exeter or London offices (minimum 2 days per week).

Crowdcube is a regulated financial services firm and is required to comply with a range of laws and regulations relating to the delivery of its services to customers.

Who we are:

As a leading European retail investment marketplace, Crowdcube raises finance for Europe's hottest high-growth businesses by giving investors the opportunity to back businesses they believe in. Having amassed an investor community of over 1 million people, which has funded over 1,000 businesses, Crowdcube was named the most active investor in private equity in 2020.

Crowdcube was inspired by an unshakable belief in entrepreneurs that dream big, push at the edges and want to make a difference. Our mission is to democratise investment, helping to fuel the next generation of business who want to leave a mark on the world.

Since founding in 2011, we’ve successfully funded over 1,000 campaigns with brands from across the globe, such as Monzo, Brewdog, Grind, Cowboy, Mintos and what3words.

What you will be doing:

As Senior Compliance Officer you will report to the General Counsel responsible for monitoring regulatory developments, including new laws, regulations, guidance and best practice; reporting these developments to the senior management team and making recommendations about changes to the Company’s internal compliance procedures and policies.

You will also have a key role in ensuring that the firm understands, monitors and complies with the prudential requirements that apply. This includes delivering relevant training to the senior management team.

Day to day you will be involved in:

Conduct of Business and Reporting: As a regulated financial services company, Crowdcube has a wide range of regulatory requirements relating to its business. The Senior Compliance Officer will have a prominent role in the Group’s compliance. You will have day to day responsibility for the Group’s reporting and prudential requirements.

Internal audit / overview of compliance: Crowdcube has a number of areas of compliance which need to be monitored and assessed on an ongoing basis. In this role, you will be involved in the oversight and review of all compliance processes.

New Products: You will be closely involved in the development of new products and improvements to Crowdcube’s technology, client offering and internal tools. The delivery of Crowdcube’s services and products must be developed in line with its compliance obligations and so this is an important and exciting opportunity to be involved in those developments.

Data Protection: You will work closely with the firm’s Data Protection Officer (or may be the firm’s Data Protection Officer if you have appropriate experience) and will have a key role in setting and monitoring all processes and policies relating to the protection of Crowdcube’s customer data rights.

Policies: The Senior Compliance Officer will be responsible for implementing new company level compliance policy with the General Counsel and leadership team, maintaining the company’s policies and ensuring that they are reviewed at appropriate time intervals by relevant stakeholders

Training: The Senior Compliance Officer will be responsible for the delivery of all training relating to compliance to employees/staff of the group companies.

Reporting / Filings: The Senior Compliance Officer will be responsible for all regulatory filings required in the UK and will have supervisory responsibility for ensuring that the European operations comply with all of their regulatory filing requirements.

Ideally you will have:

• At least 3 years of experience in a similar role within a financial services firm or providing services to a similar firm

• Experience within an Investment firm that operates in a similar field to Crowdcube (though this is not essential)

• Familiarity with financial services regulations and extensive knowledge of Data Protection compliance

• Experience drafting and reviewing policies, procedures and liaising with the Financial Conduct Authority (FCA)

• Be dedicated to fostering an inclusive culture and value diverse perspectives

And you will be:

• An excellent communicator and be able to communicate at all levels throughout the business

• Open-minded and comfortable questioning the status quo, coming up with new solutions and considerate of others

• Enthusiastic and positive with a bias to action

• A strong team player. We are all in this together, so be supportive and understanding

What we are offering:

We like to nurture talent and ensure members of our team develop and hone their skills through training, attending conferences and subscriptions to online courses. We’re passionate and hard-working, and we take care of our team:

• £50-60K DOE

• Participation in the employee share option plan (subject to the prevailing company policy at the time)

• 25 days holiday + bank holidays + holiday for tenure

• Pension Scheme at 4% matched (UK Residents Only)

• Private Medical Scheme with AXA including dental and optical cash plans

• Access Plumm, a mental health platform

• Life Assurance Scheme (4 x salary)

• Access to Sunlight - a learning & development platform with a £1000 training and wellness budget per year

• Cycle to Work Scheme

• Weekly demos to show what we're working on, monthly team meetings

• Company perks such as fruit, snacks, fitness classes and weekly office beers

• Company outings and activities (previous fun included a trip to a gin distillery, karaoke, charity football match, Square Mile Relay, bowling and a day at River Cottage)

Our interview process typically consists of an initial phone screen, an interview with the hiring manager and a task, followed by a final interview with other members of the team. There aren't any trick questions and the task will typically be based on a real scenario the team have worked on.

Our policy is to employ the best-qualified people and provide equal opportunity for the advancement of employees including promotion and training and not to discriminate against any person because of gender, race, ethnicity, age, sexual orientation, religion, belief or disability.

We are a flexible workplace. Cuber Choice enables Cubers and future Cubers to do their best work, in whatever way is best for them and the business. We commit to treating all employees equally, whether they are home or office-based. We do not reward presenteeism but focus on impact. Employees may choose a different work schedule to meet personal or family needs. This includes early finishes, late starts, selecting your own working hours, and you may also choose to split your time between home and office.