PURPOSE OF ROLE
Based in the UK, the Compliance Officer will report directly to the Managing Director of Compliance and will assist in developing a robust Compliance function within a dynamic and ever-expanding online broking business.
The role will require the individual to be responsive to the needs of the business and reactive to regulatory issues, which emerge as a result of a worldwide client base. The individual will be responsible for ensuring that projects are initiated and implemented in accordance with applicable rules.
- Support the UK and EU Board of Directors
- Independently initiate, drive and implement project solutions
- Create and maintain project plans and regularly follow up on open items
- Produce high level summaries and updates for senior management
- Keep abreast of regulatory rule changes and developments, assess their impact and as appropriate, circulate to management to consider next steps
- Keeping up to date with EMIR and MIFID regulatory developments, technical standards and industry solutions
- Assess current practices and develop enhancements where needed
- Manage the flow of communication between Compliance units in various jurisdictions
- Provide advice to the Business on regulations that impact a firm dealing in OTC products.
EXPERIENCE & SKILLS REQUIRED
- Previous experience in a generalist compliance, compliance monitoring or compliance advisory role would be highly advantageous
- Knowledge and experience of OTC products and in particular CFD's and Forex
- Sound proven compliance experience or relevant department experience at an FCA regulated firm
- Sound knowledge of European regulations and experience of communicating directly with European regulators
- Fundamental understanding of regulatory issues that could affect an online brokerage
- Ability to speak French, German and/or Italian would be a benefit
- Strong computer skills and proficiency in Microsoft Word, Excel and PowerPoint
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and/or send your CV to Josh Rubin () at Twenty Recruitment.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.