- Fast-growing FinTech
- Regulatory Compliance role
About Our Client
Our client is an award-winning, growing and listed fintech.
- Take complete ownership of the delivery of policy to ensure regulatory compliance of MiFID and the E Money Regulations
- Provide support in regards to EMIR reporting obligations
- Identify regulatory change across MiFID, E Money and EMIR, providing guidance and written analysis as to how changes would affect the business. Proposing plans as to how we will react and comply.
- Review regulatory E Money and FSMA conduct rules to ensure business is operating within the rules. (This is an ongoing project)
- Act as point of contact when dealing with complaints
- Provide input into the compliance MI programme
- Work closely with the marketing team to ensure Financial Promotions meet regulatory requirements. Take ownership and control of financial promotion process. Establish and manage a robust approval and monitoring process around FPs
- Act as point of contact for questions in relation to jurisdictional variations in ability to conduct business
- Be the first point of contact for client/in house questions around regulatory matters
- Work with the Compliance Director to design, implement and deliver comprehensive and appropriate training for relevant staff
- Responding to regulatory queries from various business units promptly and efficiently
- Manage the firms SMCR programme
The Successful Applicant
- Experience within a payments/regulated FX environment
- Excellent understanding of MiFID.
- Knowledge of EMIR reporting obligations
- Diligent and committed
- Strong communication skills and ability to take ownership of issues and problem resolution.
- Confident and tenacious whilst also being a team player
- A desire and ability to understand processes and suggest improvements and efficiencies
What's on Offer