Regulatory Compliance Officer
Financial Services (FX Brokerage)
London – Office Based
£70k – £80k
We are working with a well established and growing FX & Payments business that allows businesses to trade globally.
About the role:
The Regulatory Compliance Officer will report to the Head of Regulatory Compliance and will work in a team of 4, playing an important part of the compliance oversight for the firm. Experience in FX and Payment Services products from small to mid-sized brokerage is preferred.
Key responsibilities:
As a Regulatory Compliance Officer, you will be responsible for:
- Performing horizon monitoring to ensure the business is aware of and well prepared for upcoming legislative changes.
- Creating new policies and procedures where required following new regulations.
- Ensuring existing policies and procedures are reviewed and updated
- Providing compliance guidance and advice to the firm’s staff in relation to Compliance matters
- Supporting the team with on-going projects, ad-hoc requests and administration
- Conduct second line monitoring activities
- Assisting with trade reporting under EMIR for the group
- Prepare and deliver training to the business when required
- Assisting in producing Management Information (MI)
- Assisting the Head of Regulatory compliance with all of the firms regulatory requirements under SMCR
Office is in Central London and this role is office based.
Essential experience & skills:
- We want to set you up for success and we believe these experiences and skills will help you thrive in this role:
- 4+ years’ experience in a regulatory compliance based role in the financial services sector (preferably in a small to mid-sized brokerage)
- A good knowledge and understanding of MiFID 2, EMIR, PSD SMCR
- Excellent communication skills
- Proven ability of working to tight deadlines, through an ability to prioritise and manage workloads
