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Senior Regulatory Compliance Associate

Fintop Consulting Limited
Job LocationCity of London
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Our leading client is looking for senior regulatory compliance associate who can assist with liaison with regulators, monitoring and completion of ongoing compliance obligations, and development and maintenance of policies and procedures to ensure compliance.Roles & Responsibilities:

  • Your primary role involves keeping track of and interpreting laws and regulations and advising on their impact on the business and any necessary changes.
  • You are required help the SMF16/17 team communicate with regulators and the NCA.
  • Investigating laws and regulations and providing guidance to the Head of Compliance and the company
  • Youll be responsible for monitoring and fulfilling ongoing compliance obligations such as Best Execution, TCF, Onboarding reviews and Complaints’ handling
  • Supporting regulatory matters including AML/CDD, MAR, MiFID II, SMCR, PRIIPs
  • Creating and managing data analyses to inform the Head of Compliance and the Executive Committee and Board on key risks, issues, and actions taken
  • Developing and updating policies and procedures to ensure compliance with regulations
  • Assisting with handling complaints against the company, its members and/or its staff
  • Reviewing marketing materials, presentations, and websites to ensure compliance with laws and regulations
  • Staying current with relevant laws and regulations and ensuring ongoing compliance with them and internal policies
  • Independently supporting a variety of internal initiatives and projects while ensuring compliance with regulations and laws.
Expectations & Requirements:
  • Should possess 5 years of senior compliance experience in an FCA-regulated company
  • Quite an acquaintance of FCA reporting requirements and FCA communication
  • Must be skilled in COBS, MAR, MIFID II, DISP, CASS, SYSC, and PERG
  • Extensive knowledge of FCA industry standards and regulations
  • Comprehensive understanding of anti-financial crime-related matters such as ABC, Fraud, MAR, Sanctions, AML/CTF, and JMLSG guidance for brokerage products
  • Strong problem-solving and root-cause analysis skills
  • Experience working in a rapidly growing, scaling environment
  • Ability to work independently and with minimal supervision.
  • Preferably a graduate or someone with professional experience
  • Desirable background in law or audit

Keyskills :
FCASMF16SMF17

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