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Company Description
Roots Funding is a regulated private financial services company that connects accredited investors with institutional-grade private equity, private credit, scale-up, and real asset opportunities across Canada and selected global markets. All offerings are structured under applicable securities exemptions and are available exclusively to qualified investors. Through its PMX platform, Roots Funding focuses on transparency, efficiency, and liquidity in private markets. The company also provides value-added services, including M&A introductions, marketing, and consulting, to support long-term, sustainable economic growth. An AI business center further helps partner companies scale and increase revenue.
Role Description
This is a contract, hybrid Chief Compliance Officer role based in the London Area, United Kingdom, with flexibility for some work from home. The Chief Compliance Officer will design, implement, and oversee the company’s compliance framework, ensuring adherence to applicable financial regulations and securities laws in the United Kingdom and relevant global markets.
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Day-to-day responsibilities include:
- Monitoring regulatory developments
- Updating policies and procedures
- Performing risk assessments
- Supervising internal audits and compliance reviews
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The role involves advising senior leadership on regulatory requirements, reviewing new products and offerings for compliance risk, and collaborating with legal, finance, and operations teams to address issues proactively. The Chief Compliance Officer will also lead compliance training, manage regulatory filings and reporting, and serve as a primary contact for regulators and external advisors.
Qualifications
- Strong Compliance Management and Regulatory Compliance experience within financial services or investment management.
- Well-developed Analytical Skills for assessing regulatory risk, interpreting complex rules, and recommending practical solutions.
- Excellent Communication skills, including the ability to explain regulatory requirements clearly to diverse stakeholders.
- Solid Finance knowledge and familiarity with private equity, private credit, and alternative investments.
- Proven track record with MLRO, SMF16 & SMF17 duties with FCA, building and maintaining compliance policies, procedures, and monitoring systems.
- Experience interacting with regulators and managing audits, examinations, or regulatory inquiries.
- Relevant professional qualifications (e.g., law, finance, compliance, or related field) and certifications such as ICA, CAMS, or equivalent are advantageous.
- Demonstrated leadership skills, sound judgment, and the ability to work effectively in a dynamic, growth-oriented environment.
- Knowledge of UK and international securities regulations and exemptions applicable to qualified and accredited investors is preferred.
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