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Form of workRobert Half are assisting a global FX Payments company based in central London to recruit a Regulatory Compliance Analystpaying £65 000 -£67 000.
Role
- The Regulatory Compliance Analystwill assist in the ongoing development of the Regulatory Compliance department, enabling the business and partnering with internal and external stakeholders to protect the firm's reputation and ensure systems and controls are in place to promote controlled business growth within the firm's risk appetite.
- Implementation and development of the Compliance Monitoring Programme including a hands-on approach to undertaking reviews or testing.
- Execution of the Compliance Monitoring Program (CMP) including adapting for use in other jurisdictions where required.
- Ability to act as project support for strategic regulatory initiatives such as licensing, new regulations or remediation activities.
- Acting as the point of contact for business stakeholders for escalations or advice in relation to regulatory matters.
- Liaison with auditors, banking counter parties or regulators with respect to any questions and ensuring timely comprehensive response or follow ups.
- Ability to compile, enhance and present Management Information in relation to Compliance and Risk.
- Support the Senior Regulatory Compliance Manager & Senior Regulatory Analyst in promoting strong governance across the business including committees, record-keeping and ensuring timely and effective escalation of any identified issues.
- Ability to horizon scan and produce regular updates on regulation affecting the industry across all jurisdictions.
- Implementation and upkeep of training and SMCR across the business.
- Review and log all financial promotions across the business.
- Ability to review our regulatory obligations with regards to website disclosures including but not limited to; MiFIDPRU, Best execution, Privacy policy, Modern Slavery, ESG.
- Ability to deputise for the Senior Regulatory Compliance Manager & Senior Regulatory Analyst as appropriate.
Profile
- The Regulatory Compliance Analyst2-3 years of experience in a compliance or regulatory function ideally including working in a regulated payment services, e-money or Forex/Options trading firm or for a regulator.
- Understanding of FCA regulations: SMCR, IFPR, Operational Resilience, MiFID/MiFIR, EMIR, Financial Promotions, Consumer Duty, PSD2, E-Money regulations and CASS/Safeguarding.
- Able to update Policies and Procedures including clear communication of any changes.
- Support the firm's fitness and propriety requirements, for Certified staff and Senior Managers.
- Able to track and manage team activities - able to identify key milestones and ensure timely delivery - both project focussed and regular tasks such as regulatory reporting or CMP requirements.
- Excellent spoken and written English communication skills including ability to confidently address senior audiences.
- Strong attention to detail with ability to simplify complex matters.
- Ability to develop and present training materials and assist with the oversight of the firm's training program.
- Continuing desire to learn- willingness to sit relevant professional exams.
Desired Experience
- Legal background- Experience in a law firm, law degree or equivalent qualification.
- Relevant CISI or ICA qualification.
- Experience with Data Analysis: SQL or Power BI tools.
Company
- Global FX Payments company with offices in London
- Contract £65 000 -£67 000
- On-site required - London.
Salary & Benefits
Company, depending on experience.
The salary range/rates of pay is dependent upon your experience, qualifications or training.
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