Regulatory Compliance Officer

Plum Fintech

At Plum, we’re on a mission to maximise wealth for all. We’re making saving money effortless and turning investing into something everyone can do.

Our journey began back in 2017, when we became one of the first to use artificial intelligence and automation to simplify personal finance. Fast forward to today, and we’ve already helped people save £2 billion across 10 European markets.

Named the UK’s fastest-growing fintech in the Deloitte Technology Fast 50, our success is down to the passion and dedication of our diverse team. Based in our London, Athens and Nicosia offices, 180+ talented people work together to empower people to do more with their money. And now, the team is growing!

The Team and the Role

We are looking for a pro-active, highly motivated and ambitious individual who will hold the role of Regulatory Compliance Officer to expand our Compliance team. You will assist in the enhancement of compliance culture and support our team’s mission to act as a liaison between the company and regulatory bodies. You will work closely with the team on various compliance activities, ensuring regulatory requirements are implemented by cooperating closely with teams within the company.

What you will do:

  • Develop and assist in the implementation of compliance policies and procedures by engaging in drafting and/or updating them to ensure adherence to all applicable regulations
  • Conduct checks, risk assessments and assist in the production of compliance reports, in accordance with our Compliance Monitoring Programme to ensure regular reviews and assessments
  • Execute checks in connection with Consumer Duty and support the build-out of the firm’s Consumer Duty framework
  • Review marketing, advertising and press material to ensure they comply with regulatory requirements.
  • Design and monitor the implementation of the annual compliance plan, and deal with internal ad-hoc compliance requests to ensure that internal processes and policies are applied
  • Investigate from compliance and financial crime perspective, any SARs escalations, complaints, incidents, breach of data laws, fraud-related requests and any other compliance or financial crime related request received by the Compliance Team, for review and input
  • Prepare compliance reports addressed to the regulators to support the Compliance Team in their role as a liaison between the company and regulatory bodies
  • Compile and prepare compliance and financial crime regulatory filings and respond to requests from  our partners.
  • Prepare compliance training addressed to the employees of the company
  • Maintain the Compliance Team’s files, cases and issues, achieve deadlines and document actions needed/requested
  • Share knowledge and experience with peers through team meetings, presentations and collaboration sessions
  • Work cooperatively with other teams such as the Products’ Team, Customer Service, Fraud Team, Finance Team, Data Team, Risk Management Team, Partnerships’ Team and Marketing Team
  • Monitor regulatory changes, amendments, trends or any other developments that may impact our operations and update internal records accordingly

What we look for:

  • Bachelor’s degree in law, economics, business, or a related field. MBA or Master’s degree in Law/European Banking/Payments Regulation, Risk Management or in related fields will be considered as strong plus
  • At least 2-3 years of experience in a compliance-related role within the financial services industry. Relevant sectors include: Payments, Banking, Investment Services
  • Knowledge of FCA and EU compliance and AML/TF regulation, including GDPR and investment services regulation. Excellent written and verbal communication skills in English
  • Strong analytical skills and attention to detail
  • Ability to work both independently and in a team environment, to complete assigned tasks
  • Ability to prioritise multiple tasks and bring tasks to completion within established timeframes
  • Professional certification in compliance (such as CISI) will be considered an advantage

Plum’s Perks

  • We’re all in this together! Own part of the company through stock options
  • Annual training budget
  • Flexible approach to remote working, though we encourage at least 2-3 days a week in our beautiful office in central London for optimal collaboration
  • Team breakfast on Tuesdays and team lunch on Thursdays in the office, as well as a plentiful supply of fruit, snacks and coffee
  • Free Plum Premium subscription (normally £9.99 a month)
  • 2 weeks paid sabbatical after four years of service
  • 25 days holiday a year, excluding bank holidays (33 in total)
  • 45 days work from anywhere
  • Employee referral scheme up to £4000
  • 1 day paid leave for volunteering, supporting you giving back to society
  • Enhanced parental leave
  • Team trip to secret destinations once a year ✈️
  • A vibe that’s

If you think this sounds like you, don’t hesitate to get in touch!

Thanks,

Plum Τeam

*Plum is an Equal Opportunity Employer. Plum does not discriminate on the basis of age, race, religion, sex, gender identity, sexual orientation, non-disqualifying physical or mental disability, national origin or any other basis covered by appropriate law. All employment is decided on the basis of qualifications, merit and business need.

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