Senior Regulatory Compliance Consultant

Job Description

Senior Regulatory Compliance ConsultantOur client is a FCA regulated investment firm. The firm provides multi-asset execution, liquidity prime brokerage, and trading technology solutions for institutional clients and online trading to primarily high net worth individuals and retail clients.Key responsibilities

• Monitoring and interpreting regulatory developments and advising on business impact and necessary process changes;
• Assist the SMF16/17 on liaison with the regulators and the NCA;
• Researching regulations and legislations; acting as advisory support to the Head of Compliance and the firm;
• Keeping up to date with, and understanding, relevant laws and regulations, ensuring ongoing compliance with laws, regulations and internal policies;
• Take ownership of the compliance monitoring program covering all aspects of compliance (e.g. Best Execution, Onboarding, Complaints’ handling, Consumer Duty, Product Governance, Outsourcing) and ensure timely completion in coordination with other team members;
• Assisting with any regulatory matters, including AML/CDD, MAR, COBs, SYSC, SMCR, PRIIPs;
• Assisting with management information (MI) and board reports
• Development and management of accurate data analyses to enable the Head of Compliance to report to the Executive Committee and Board on key risks, issues and actions taken;
• Development and the ongoing maintenance of policies and procedures to ensure the firm remains compliant with regulations;
• Assisting with complaints handling for all complaints made against the Firm, its members and/or its staff;
• Reviewing marketing materials, presentations and websites to ensure compliance with regulatory requirements;
• Autonomously support a wide range of internal initiatives and projects ensuring compliance with regulatory and legislative requirements.
• This list is not exhaustive, and any other reasonable tasks/duties directed by the Head of Compliance will form part of this job description.
• This list is not exhaustive, and any other reasonable tasks/duties directed by the Head of Compliance will form part of this job description.

Requirements:

• At least 5 years’ practical experience in a Senior Compliance role in an FCA regulated firm
• Experience in both B2C and B2B will be considered an advantage
• Previous CF/SMF experience or direct support thereto
• Excellent technical compliance skills in the areas of COBS, MAR, MIFID II, DISP, CASS, SYSC and PERG
• Significant knowledge of FCA industry standards and regulations;
• Significant knowledge of anti-financial crime related matters - ABC, Fraud, MAR, Sanctions, AML/CTF, JMLSG guidance for brokerage products will be an advantage
• Proven track record of experience providing expertise and management of compliance issues in an FCA regulated firm;
• Experience in FCA reporting obligations and communication with the FCA;
• Excellent drafting skills;
• Demonstrable experience of problem solving and root cause analysis and identification skills;
• Must be able to perform independently and with minimal supervision
• Be highly competent in the use of Microsoft Office application (Excel Word, Powerpoint etc).

Keyskills :
Compliance MonitoringRegulationsTechnical ComplianceCASSTechnology Solutions