Regulatory Compliance Manager

Recruiter
Twenty84
Location
London, UK
Salary
Competitive
Posted
16 Jul 2019
Closes
23 Jul 2019
Ref
1209938338
Sector
Legal
Contract Type
Permanent
Hours
Full Time
  • Provision of regulatory advice with a particular focus on MiFID2, FSMA, the Payment Service Regulations and the Electronic Money Regulations;
  • Design of compliance monitoring programmes;
  • Drafting briefings and training material on regulatory topics for Senior Management and the Risk Committee;
  • Horizon scanning in relation to regulatory developments in both the UK and overseas;
  • Supporting and providing input on compliance risk registers across all legal entities of the Group;
  • Supporting regulatory applications, including variations of permissions and SMCR/Approved Persons notifications;
  • Reviewing financial promotions and issuing guidance to the first line;
  • Ensuring TCF is embedded across the Group;
  • Reviewing and providing regulatory advice on new products and/or sales initiatives;
  • Providing ongoing training and advice to the first line on regulatory matters;
  • Liaising with regulators, the Financial Ombudsman Service and banking partners; and
  • Support for regulatory and transaction reporting activity across the Group, including MiFIR, GABRIEL and EMIR reporting.


Required Skills/Experience:
  • Should have worked in a Regulatory Developments or Advisory role with exposure to MiFID2 regulation/products or PSD2, the Payment Service Regulations or the Electronic Money Regulations
  • Knowledge and understanding of the FCA Principles for Business, including TCF, BCOBS etc

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