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Regulatory Compliance Manager

Financial Services
Closing date
15 May 2021

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Contract Type
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Job Details

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

  • 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

Job Offer

Competitive package.
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