Globacap - Compliance Officer – FCA authorised Capital Markets Fintech

Compliance Officer – FCA authorised Capital Markets Fintech

Globacap - London, England, United Kingdom

Job description

We are a fast growing, entrepreneurial blockchain capital raising platform headquartered in London. Our mission is to liberate ambitious SMEs by simplifying, streamlining, and widening access to capital on a global scale. Using blockchain and automation, the Globacap platform connects businesses directly to institutional and retail investors, handles the investment process, and provides access to a secondary market.

As a world first, we are issuing part of our own equity as blockchain tokens through our platform in July. We have worked with the FCA, and our legal advisors, to structure tokens that represent a legal transfer of shareholding within the UK company and securities law. A revolutionary step forward.

Entrepreneurship is at the core of our culture and we are looking for an ambitious individual to join our exciting journey as our Compliance Officer.

**About this Role**

We are on the hunt for an analytically minded person to establish our compliance function as a newly FCA-regulated firm. As our first compliance hire you will be a key contributor to the overall success of our business and will have the opportunity to build our Compliance Function from scratch. You will have had at least 5 years of hands-on experience in applying FCA rules, guidance and handbooks in a MiFID investment or brokerage firm. You will have either been, or directly supported someone with, a CF10, CF10a, or CF11 designation for at least 3 years.

Our capital raising platform involves onboarding investors, so you will be responsible for ensuring that our KYC/AML processes are robust and up-to-date. You will be expected to draft compliance policies and procedures in response to business needs and, in anticipation of, regulatory changes. Experience in dealing with regulatory complaints and/or financial promotions would be desirable.

You will have the ability to plan and prioritise workload to meet tight deadlines, strong communication skills, and a demonstrated ability to influence by using evidence and solutions-based thinking.


You will have overall responsibility for all aspects of compliance in our business. The role will be varied but key responsibilities will include:

- Performing the controlled function roles of CF10, CF10a & CF11

- Setting up our risk and compliance framework and ensuring that this is kept up to date

- Being the company’s FCA point of contact for compliance

- Keeping abreast of regulatory changes, interpreting and disseminating information about these and adapting procedures, documents and compliance tools accordingly

- Assisting the Exec Team as required with planning and advisory work

- Performing monthly, quarterly and annual compliance checks and preparing compliance reports for management review as needed

- Supporting management and IT teams with data protection and GDPR compliance

- Staying aware of latest systems and tools for compliance/KYC/AML

- Investigating and resolving all regulated complaints and dealing with general ‘escalated’ customer interactions

- Completing and submitting information to the FCA’s Gabriel reporting system


To be an ideal candidate for this role, you will have:

- A Bachelor’s degree or above in Law, Business, Finance or related disciplines

- 3+ years’ experience as, or supporting someone with, a CF10, CF10a, or CF11 designation

- 5+ years’ relevant experience in working within a MiFID investment firm/brokerage firm or similar

- 3+ years’ experience in managing/supervising KYC/AML operations

- Knowledge of FCA Handbook, particularly rules regarding financial promotions and the wider regulated activity of arranging investments

- Knowledge of the CASS rulebook and how to apply the rules to a firm’s operations

- The ability to multi-task and take responsibility in challenging situations

- Excellent communication and organisation skills

- The ability to influence through the presentation of evidence and solutions-based thinking to achieve effective commercial outcomes

- A start-up attitude: action-oriented, resilient personality, ‘growth’ mindset, and adaptable to change

- An interest in changing the financial world

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