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Senior Regulatory Compliance Manager - Wealth & Trading

Employer
Revolut
Location
UK
Salary
Competitive
Closing date
14 May 2021

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Sector
Legal
Contract Type
Permanent
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Job Details

We're looking for a Regulatory Compliance Manager for our UK office to ensure that people and process comply by applicable laws and regulations. Revolut Trading is the most exciting new business within Revolut Group.

We're building a global platform for trading to give Revolut customers unprecedented low-cost and friction-free access to the capital markets, starting with zero-commission stock trading with much more to follow.

WHAT YOULL BE DOING

Identify, assess, monitor and report on compliance risk in a retail MiFID firm.
Oversee and contribute to Compliance Framework ensuring the objectives, focus and scope of compliance monitoring remain valid.
Contribute to the building out of a Compliance Team, providing training as appropriate.
Ensure that the entity complies with all its regulatory obligations as well as internal policies and procedures.
Ensure that scheduled monitoring is undertaken with findings reported and followed up on and that the Compliance Monitoring Plan is continuously reviewed and prioritised.
Drive a strong compliance culture throughout the entity.
Provide accurate, consistent and timely advice to the business on an ongoing basis, including; responding to ad hoc queries; contributing to projects; advising on new products and business proposals; contributing to policy documents.
Liaise with regulatory bodies on matters ranging from inspections to day to day queries.
Be responsible for the collation of regulatory reports as required.
Manage and develop one or more compliance professionals.
Report on a regular and timely basis to the Head of Compliance.
Prepare more formal quarterly updates for the Head of Compliance for the purposes of reporting to the Risk & Compliance sub-committee of the Board.
Monitor upstream regulatory developments and assess impact, participating in project groups to prepare for implementation and communicating preparedness and risks as appropriate.

WHAT YOULL NEED

5+ years working in a compliance team in/with investment firms with a thorough working knowledge of MiFID II, MAR and the FCA Handbook and an in-depth understanding of the regulatory requirements applicable to an investment firm;
Extensive experience of managing and influencing decisions at the most senior levels;
Professional Certificate in Compliance/Professional Diploma in Compliance and/or a willingness to take exams in the future if required.
Third Level Degree in Business, Finance, Law or equivalent.
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