Company Description Roots Funding is a private financial services company that connects private capital and 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. The company is focused on bringing transparency, efficiency, and liquidity to private markets through its PMX platform. Roots Funding also provides value-added services, including M&A introductions, marketing, and consulting, to support long-term, sustainable growth for portfolio companies and economies. An AI business center further supports companies in scaling their revenue and building potential global leaders.
Role Description This is a contract job and could be changed to full-time, hybrid role for a Compliance Officer based in the United Kingdom, with flexibility for some work from home. The Compliance Officer should qualify for SMF3, SMF16 and SMF 17 with FCA. Compliance officer will oversee day-to-day compliance activities, including monitoring adherence to relevant financial regulations and internal policies, and supporting regulatory reporting. This role will review and approve marketing materials, client communications, and product documentation for compliance with applicable rules and standards. The Compliance Officer will conduct periodic risk assessments, compliance testing, and internal audits, and recommend corrective actions where needed. The role will also provide guidance and training to internal teams, collaborate with legal and operations on new products and jurisdictions, and support responses to regulatory inquiries or examinations.
Qualifications
- Strong expertise in Compliance Management (SMF16 & SMF17) and minimum Regulatory Compliance experience of 3 years, ideally within private markets, investment management, or broader financial services.
- Demonstrated Analytical Skills, including the ability to interpret complex regulations, assess risk, and translate requirements into practical controls and procedures.
- Excellent Communication skills, with the ability to provide clear guidance, write policies, and communicate effectively with internal and external stakeholders.
- Solid understanding of Finance, investment products, and market structures relevant to private equity, private credit, and real assets.
- Knowledge of UK and, preferably, global financial regulatory frameworks; professional compliance certifications (e.g., ICA, CISI, or similar) are an asset.
- Proven experience in a compliance, risk, or regulatory role, with the ability to work independently, exercise sound judgment, and maintain high ethical standards.
- Bachelor’s degree in law, finance, business, or a related field (or equivalent experience); experience in a regulated firm is strongly preferred.
- Comfort working in a dynamic, growth-oriented environment and collaborating across remote and in-office teams.
Pay: £24,420.00-£40,609.03 per year
Application question(s):
- Do you have SMF 16 and SMF 17 expertise and FCA approval in previous jobs?
Experience:
- Compliance management: 3 years (preferred)
Work Location: Hybrid remote in Canary Wharf
