Senior Regulatory Compliance Officer
Helping Corporate and Private Clients with their FX and International Payments requirements for over 40 years now command a global footprint aross 10+ countries.
They have an exciting opportunity for an experienced Senior Regulatory Compliance Officer to join their Risk & Compliance team based in London.
You will support the Head of UK Risk & Compliance and UK Regulatory Compliance manager in executing the Compliance programme.
You will assist with the delivery of a range of central regulatory compliance responsibilities such as:
- Preparation and maintenance of the firm's Compliance policies and procedures
- Provide advisory support to staff for queries related to MiFID and/or the Payment Service Regulations (e.g. CASS, Safeguarding, Consumer Duty, Financial Promotions, Product Governance)
- Review of financial promotions and marketing materials to ensure they deliver good customer outcomes
- Carry out 2LOD checks on the on-boarding of the firm's MiFID prospects (e.g. appropriateness, client categorisation)
- Partner with HR to maintain the firm's individual accountability programme (i.e. Senior Managers & Certification Regime & PSD individuals)
Essential knowledge and experience needed:
- At least 5 years background in regulatory compliance within financial services working within a MiFID firm, Bank, Payment Service Provider or Regulator
- Experience in liaising with regulators
- Strong understanding and experience in carrying out SM&CR administrative tasks
- Experience in reviewing financial promotions
What you get in return:
- This role offers a competitive salary
- Comprehensive benefits package including 25 days holiday, pension, BUPA private medical health insurance, commission and more.
