About us

We are a rapidly growing fintech, that is transforming private capital markets. With deep regulatory knowledge and cutting-edge technology, we have enabled frictionless asset creation and transferability. We are driving the digitisation of all assets.

Our technology is already being used by some of the largest institutions in the world, such as the Johannesburg Stock Exchange and Nomura/Instinet.

The Role

This Regulatory Operations Executive role is critical in driving client engagement and increasing client satisfaction to ensure our clients fully maximise the usage and benefits of our technology features.

The successful candidate will have responsibility for issuer and investor onboarding, register management, deal creation and management, planning and coordinating cross-functional effort to deliver regulatory operations activities for our clients. You will oversee Customer Due Diligence activities, identifying high-risk applications and escalating to the Compliance Officer where necessary

Remote working supported. UK based.

Your responsibilities:

• Manage client private placement projects from initial onboarding of investors, cap (shareholder register) tables, deal creation to post-deal
• Perform Issuer and Investor Due Diligence (KYC & KYB), ensure issuer, deal and investor compliance with established policies or procedures, identify high-risk applications and escalate to Compliance
• Perform product demos to educate clients and showcase platform functionality to solve client pain points and ensure a seamless client experience
• Obtain information and supporting documentation to complete Know Your Customer (KYC) and Know Your Business (KYB) due diligence, including working with our automated KYC provider to optimise pass rates
• Interact with new and existing customers to resolve their queries in a proactive, timely fashion across multiple channels
• Share customer insights with the relevant teams, in particular Product, to develop and improve our product
• Manage stakeholder relationships and ensure that all parties are kept informed

You
Our ideal candidate is a highly motivated and energetic AML review/compliance officer looking to join a thriving business and take the next step in their career.

You are highly experienced in regulatory compliance activities especially as they relate to risk management in capital markets and /or Financial Services, and bring:

• Share options in a rapidly growing fintech that is starting to scale
• Unlimited holidays (UK only)
• Flexible and remote working
• Health, vision, and dental insurance (UK only)
• Company pension (UK only)