Senior Compliance Analyst

Job Description

Job Outline:

We’re looking for an engaged and highly organised person to join our Compliance team. We’re enabling great businesses to succeed through equity crowdfunding and as a Senior Compliance Analyst at Crowdcube, you will be part of a company's funding journey from start to finish, ensuring we uphold the highest standards when undertaking checks on each business, entrepreneur, and investor that come to the platform.

This role is ideally based in our Exeter or London offices and there will be a requirement to be in the office a minimum of 2 days per week.

Crowdcube is a regulated business and so the Compliance function is an integral part of what we do. As a Senior Compliance Analyst, reporting into the Head of Compliance Operations, you will play a vital role in ensuring that our due diligence checks on entrepreneurs, investors, and businesses that come to Crowdcube are thorough and accurate. We will provide training and set you up for success; as your knowledge and skills develop, you will gradually take on more responsibilities.

Day to day you will:

• Review financial promotions and conducting due diligence on ‘pitch’ text

• Support the Head of Compliance Operations in ensuring that Crowdcube’s pitch verification processes, practices and policies remain fit for purpose and comply with the relevant laws and regulations in the UK and EU

• Maintaining records for the team

• Undertake Anti Money Laundering, Know Your Customer & Know Your Business reviews of companies and directors

• Support the team on responding to escalated complaints

• Independently review the team’s work, signing off Financial Promotions at a level of second escalation

• Draft responses to Financial Ombudsman complaints

• Collaborate with other teams and entrepreneurs around compliance matters

• Provide compliance induction training to all new joiners

• Keep abreast of regulatory change, and communicate within the Compliance team

• Help to drive operational efficiencies and best practice as we scale

Requirements:

You’ll be able to demonstrate a practical and logical approach to working. You are detail-oriented and organised so your work is accurate. You approach new hurdles with enthusiasm and are comfortable asking questions.

Ideally you will have:

• At least 5 years of experience in a similar role within a financial services firm or as part of a regulated environment

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

• A proven track record in a compliance role within a commercial organisation or regulatory body such as the Financial Conduct Authority

• Commercial acumen and proven application of regulatory compliance

• Strong communication and relationship management skills with internal and external stakeholders

• Demonstrable experience with judgement and decision-making

• Knowledge of the FCA regulatory framework for approving financial promotions

• Fluency in both English and another language to mother tongue standard (this is highly desirable, but not essential)

• Demonstrable experience of multitasking, prioritising your workload and meeting deadlines

• 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

• Be able to manage a workload in a fast-paced environment with high levels of responsibility

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

• Be analytical approach, and open to exploring trends, opportunities and risks that could affect the business or individual pitch verifications

• Have a flair for problem-solving, identifying the right information needed to tackle a problem in a logical manner

• Be detail-oriented, you are thorough when accomplishing a task, you don’t overlook even the smallest detail

• Be enthusiastic and positive with a bias to action

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:

• £45-55K 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 to 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.