A strong risk and compliance culture and understanding is central to the success of Delio and to the success of our clients. We are therefore seeking to add to our team an enthusiastic individual with multi-disciplinary skills to drive this and lead the build out of legal, risk and compliance functions.
This is a fantastic opportunity for an ambitious individual who believes they have the knowledge, skills and mind-set to thrive in an environment where they can take on senior responsibility immediately, shape a role to suit their personal learning interests and contribute directly to the success of a high potential firm
We welcome interest from a wide range of skilled individuals who think they are up to the challenge but ideally, a successful candidate would have:
• In depth understanding of the UK regulatory environment as it applies to both retail and professional clients;
• A robust grasp of key issues facing FCA Authorised firms generally and the wealth management industry specifically;
• Experience working within the internal legal, risk or compliance function within a large financial services entity (wealth management preferable but not essential) and/or as an external advisor to large regulated financial institutions;
• A passion for learning and a genuine desire to stay at the forefront of regulatory developments;
• Comfort working in a fast paced start-up environment, combining high levels of responsibility with a willingness to roll up their sleeves;
• A passion for, and an understanding of, financial technology and its impact on the future of financial services;
• Excellent research and legal writing skills and a strong ability to communicate with senior leaders.
This candidate will also appreciate that, as is the nature of a fast growing early stage business, the role will be naturally varied and evolve as the business grows but will be expected to:
• Draft, develop and implement compliance and operational risk policies procedures and ensuring a robust internal framework;
• Advise internal stakeholders on a wide range of regulatory and compliance issues facing Delio and our clients;
• Work with account managers/product managers to ensure our solutions meet the regulatory and compliance requirements of our clients today, and in the future;
• Liaise with the FCA and external advisors to guide Delio through the final stages our FCA Authorisation application;
• Manage ongoing regulatory dialogue and reporting requirements;
• Shape the business approach to international expansion through researching and understanding new jurisdiction regulatory frameworks and liaising with international regulators/external advisors to ensure seamless entrance in to new markets;
• Assume (or work toward assuming) CF10 and CF11 responsibilities;
• Build an internationally focused team as the business expands.
We are looking for people with a broad spectrum of experience. Fit and enthusiasm around the Delio proposition is key. If you think you can offer something unique to this role, we would love to hear from you.