Regulatory Compliance Officer for Finance - 12/11/2024 09:56 EST
Budget: £200 – £50,000 GBP
We are a financial promotions approver under the FCA's section 21 gateway in the UK. Our clients include cryptoasset firms and fund managers.
We are looking for a mid-level compliance analyst with expertise in navigating the FCA's financial promotions rules and the MiFID II regulatory framework.
Location: Hybrid - will require presence at our office in Bath, UK.
Key Responsibilities:
- Monitor our financial promotion approvals teams and processes
- Implement and oversee compliance improvement programs.
- Carry out day to day compliance functions.
- Liaise with regulatory bodies and manage compliance documentation.
- Provide training to junior members of the compliance team.
- Develop and deliver training programs to ensure staff understanding and compliance with the relevant regulatory requirements.
- Prepare and present compliance reports to senior management and the board.
- Establish protocols for reporting compliance incidents and breaches.
- Produce and submit regulatory reports.
Ideal Skills and Experience:
- Proven experience in regulatory compliance, specifically within the investment funds/cryptoasset industry.
- In-depth understanding of the financial promotion rules and the UK's MiFID II framework.
- Excellent analytical skills and attention to detail.
- Strong communication skills for liaising with regulatory bodies.
This project is expected to last for 6 months. This project will require a part-time commitment. Familiarity with Jira is preferred.
Our primary goal is to ensure compliance accuracy and adherence to regulatory requirements. We need someone with 3-5 years of experience in regulatory compliance roles. The compliance officer will be responsible for designing and delivering training programs. The compliance officer will primarily work in a hybrid mode working remotely and with us at our office in Bath, UK.
We are looking for a mid-level compliance analyst with expertise in navigating the FCA's financial promotions rules and the MiFID II regulatory framework.
Location: Hybrid - will require presence at our office in Bath, UK.
Key Responsibilities:
- Monitor our financial promotion approvals teams and processes
- Implement and oversee compliance improvement programs.
- Carry out day to day compliance functions.
- Liaise with regulatory bodies and manage compliance documentation.
- Provide training to junior members of the compliance team.
- Develop and deliver training programs to ensure staff understanding and compliance with the relevant regulatory requirements.
- Prepare and present compliance reports to senior management and the board.
- Establish protocols for reporting compliance incidents and breaches.
- Produce and submit regulatory reports.
Ideal Skills and Experience:
- Proven experience in regulatory compliance, specifically within the investment funds/cryptoasset industry.
- In-depth understanding of the financial promotion rules and the UK's MiFID II framework.
- Excellent analytical skills and attention to detail.
- Strong communication skills for liaising with regulatory bodies.
This project is expected to last for 6 months. This project will require a part-time commitment. Familiarity with Jira is preferred.
Our primary goal is to ensure compliance accuracy and adherence to regulatory requirements. We need someone with 3-5 years of experience in regulatory compliance roles. The compliance officer will be responsible for designing and delivering training programs. The compliance officer will primarily work in a hybrid mode working remotely and with us at our office in Bath, UK.