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