Senior Compliance Officer - CASS and MLRO (SMF16 & SMF17)

You'll lead and execute the formulation and delivery of our regulatory compliance strategy, process and policies across all legal, regulatory and compliance obligations, including, but not limited to, CASS, SMCR, financial crime, KYC and AML

Compliance & Financial Crime:

• Act as the FCA Approved Person for compliance oversight (SMF16) and the MLRO (SMF17) to ensure regulatory compliance and adherence to AML regulations


• Own and maintain all Compliance-related policies and procedures, ensuring Odin is compliant across all jurisdictions in which we operate. This includes areas such as CASS, SMCR, AML and KYC, financial crime and a wide range of other aspects


• Your compliance understanding enables you to push for control enhancements that elevate Odin to a best-in-class control environment. Your direction guides FinOps and Product in implementing these enhancements


• Oversee risk management, monitoring the ongoing risks that impact Odin's business. You'll develop plans and processes to mitigate these risks and provide regular updates to stakeholders


• Produce management information for internal committees and present information when required


• Develop and deliver ongoing compliance training to the business, e.g. on discrepancy management, the reconciliation process and AML


• Stay up to date with the latest compliance requirements and best practices, ensuring that Odin's operations are always aligned with industry standards and implemented effectively


MLRO & AML

• Implement and oversee all aspects of AML monitoring and compliance


• Own enhanced due diligence, ensuring thorough checks are conducted and documented according to regulatory requirements


• Review and approve KYC / AML checks escalated by junior operations team members


Regulatory Reporting:

• Ensure timely regulatory reporting to the FCA and other relevant regulators, including communications with the Financial Ombudsman


• Stay informed about upcoming regulatory changes and plan for their implementation


• Ensure compliance with applicable EU legislation (e.g., MiFID, MiFID II, AIFMD), as well as key areas of the FCA handbook (AIFMD, COBS, SYSC, MAR)


• Leverage knowledge of previous SMF16 and/or SMF17 functions to enhance compliance practices and procedures


CASS Oversight (PR-Z)

• Review and approve all reconciliations conducted by the Financial Operations team, ensuring compliance with FCA CASS regulations and internal policies


• Manage the attestation process for CASS reconciliation controls, ensuring accurate recording of any control failures and supporting enhancements to controls


• Manage the entire external CASS audit process from start to finish, ensuring all necessary steps are meticulously executed


Contributing to Operational Excellence

• Collaborate closely with product and technology teams on new product releases, providing insights from a CASS/FinOps/Legal and Compliance perspective


• We are a startup, and you'll need to adapt your work to the company's needs and priorities. We expect you to use your expertise and intelligence to contribute to areas of the business beyond the job description, whether that's interacting with our lawyers and our product team on new legal structures, or supporting the Operations team in getting work done during busy time periods


As our first Compliance hire and in-house expert, you'll have ample opportunity for growth and a clear pathway to progress. Leveraging your senior expertise and extensive experience in a regulated environment, you'll lead the charge in ensuring compliance, launching new legal features, and driving operational excellence.


• You possess excellent attention to detail, are rigorously diligent, and highly organised


• You are a self-starter who can independently and proactively suggest changes and improvements to our ways of working


• You have a deep appreciation for regulations and processes, recognising their importance in ensuring compliance and efficiency


• You are an excellent communicator with a strong ability to articulate technical concepts to a non-technical audience clearly and understandably


Your Experience

Must-Have

• You have at least 5 years of experience in a senior compliance role in the financial services sector


• You've handled all CASS (PR Z) responsibilities, including daily and monthly internal and external reconciliations for client money and assets, preparing CASS resolution packs, CMAR reporting, and ensuring compliance with CASS 6 and 7 regulations, preferably within a fintech setting


• Experience as an SMF16 & 17 Compliance officer and MLRO, with a proven track record of effectively managing compliance and anti-money laundering programs, as well as meeting reporting obligations


• You know how to ensure practical and effective compliance implementation and have a track record of being the one to implement and deliver


• Excellent, up-to-date knowledge of FCA regulatory frameworks and requirements that apply to the business, including but not limited to AIFMD, COBS, SYSC, MAR and CASS rules when managing clients' money or assets


• Experience in risk management, compliance monitoring, implementing compliance policies and leading staff training sessions


Nice-to-Have

• Knowledge of private equity and venture capital investments


• You've worked at a fintech that is a regulated custodian, providing valuable insights into industry-specific compliance requirements


• You've got exposure to automated reconciliation tools, demonstrating an ability to leverage technology for enhanced operational efficiency


• Compliance or financial crime certified (e.g., CAMS, ICA Diploma in Anti-Money Laundering)


• Track record of successfully obtaining and maintaining regulatory licenses, particularly custodian licenses (including client money)


• Chartered accountant qualification


• Degree in Law, Finance, or Accounting (we're open to any degree if you meet all the must-have criteria!)
  
  Odin is building a better way to invest together.


We envision a world where people can vote with their money on what the future looks like, and participate in creating it.

To achieve this, we're starting by making it radically easier for anyone, anywhere, to launch & run an angel syndicate or venture capital firm.

We handle all the "plumbing" through one seamless platform - everything from setting up the legal structure for an investment vehicle through to processing payments.

Our mission is ambitious and underpinned by our values. We're already trusted by over 5,000 VCs, angels and founders, and we are just getting started., Working at Odin

Our people-first environment supports our team in adopting a balanced way of working. Our teams work together to promote a culture that recognises your impact and supports your life outside work so you can bring your best to work.

Our benefits include:

• An equity option package so you can benefit from our success (you need skin in the game!)


• We're remote-first, so you can work from home full-time, with no obligation to use the office or attend in-person socials (we value spending time together, but don't make it mandatory)


• Choose your own laptop and receive an additional £1000 yearly to spend on your home-tech setup, ensuring you have the right tools for the job


• Enjoy a £1000 yearly allowance for learning and wellness initiatives of your choosing. We prioritise self-care to ensure you bring your best self to work


• Receive your own expense card, eliminating out-of-pocket spending for work items and tools that matter


• Private health insurance to ensure your health isn't compromised, allowing you to do your best work


• The opportunity to join an early-stage tech company that is driving human progress


Accessibility Adjustments ️

We're committed to removing invisible barriers. If there are any adjustments we can make to better support you, please let us know when you apply.

At Odin, we truly value the power of diversity and inclusion. We warmly invite applications from individuals of every gender, ethnicity, sexual orientation, religion, civil or family status, age, disability, and anything else that makes you who you are. Your walk of life, background and experience brings a unique perspective that matters to us, as it helps us create products that resonate with and serve everyone.
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The salary band for this role is £80,000 - £120,000 + equity options. While this range may seem wide, it reflects that we'll consider where your experience falls within our framework. We're open to various levels of seniority.