Senior Regulatory Compliance Manager

Role - Senior Regulatory Compliance Manager

Company - Award winning fintech FX & Payments firm

Location - London (4 days a week - centrally located)

About the firm – An award-winning financial services firm listed on the London Stock Exchange. Recognised by the Financial Times as one of the fastest growing companies in Europe.

Now operating across multiple overseas jurisdictions, and servicing clients in over 40 countries, the opportunity for career growth and development is greater than ever before. They're only just getting started too, so if you’re an ambitious individual who’s ready to make an impact, I’d like to hear from you.

The Opportunity

Reporting into the Group Head of Compliance and keeping a keen eye on the changing regulatory landscape, you will provide valuable insight and interpretation of the rules contained within the FCA Handbook and E-Money Regulations.

They are looking for a Senior Regulatory Compliance Manager that is an inquisitive and judicious individual who can work well within deadlines and is adaptable and diligent in their position. The primary function is to protect the company from regulatory risk and it is expected that the individual will also provide regulatory support to the other European offices.

Key Responsibilities

• Take complete ownership of the delivery of policy to ensure Regulatory Compliance with MiFID and Electronic Money Regulation.

• Take ownership of regulatory reporting obligations under both the investment and e-money licence on RegData (FCA) and support in submitting regulatory returns as per our obligations to the MFSA.

• Provide support regarding EMIR reporting obligations.

• Post-trade monitoring of all derivative trades.

• 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 the business is operating within the rules.

• Act as point of contact when dealing with complaints.

• Provide input into the compliance ‘management information’ 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 financial promotions.

• Support the legal department and managing directors of new offices in overseas jurisdictions with the licencing process.

• Identify and implement internal infrastructures to meet any reporting obligations in new jurisdictions.

• Act as a 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.

• 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 (Senior Managers and Certification Regime) programme

Skills & Experience Required

• 5+ years of experience within a payments/regulated FX environment.

• Excellent understanding of MiFID and E-Money Regulation.

• Strong knowledge of EMIR reporting obligations.

• Diligent and committed.

• Effective 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.

If you are interested in this role then please follow the steps to apply.