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Senior Regulatory Executive

3 months ago

Reading, Reading, United Kingdom Deriv Full time
Job Information

Industry

  • Legal & Compliance
City

  • Reading
Country

  • United Kingdom


As a Senior Regulatory Executive, your role will involve ensuring that Deriv Group fulfills all its legal and regulatory obligations as per its respective licenses.

You will be responsible for implementing and monitoring internal controls to ensure compliance with regulatory requirements.

Your expertise in regulations surrounding investment services, payment service providers, and electronic money institutions will be critical in this role.

You will report to the Regulatory Team Leads.

Your challenges

  • Ensure Deriv remains compliant with regulations. Maintain awareness of regulatory developments within and outside of the company.
  • Keep abreast of evolving best practices in compliance controls.
  • Engage in the fulfilment and delivery of compliance programs and compile compliance reports.
  • Monitor legislative and regulatory developments that may affect Deriv Group and its operations. Disseminate relevant information to key stakeholders and provide recommendations where applicable.
  • Support the implementation and monitoring of internal controls to ensure compliance with regulatory requirements.
  • Create, maintain, and implement compliancerelated policies, conduct internal compliance reviews, and perform legislative gap analyses.
  • Prepare risk assessments to support the decisionmaking process for risk mitigation.
  • Compile regulatory reports, including information requests, data, and responses to Consultation Papers, as required.
  • Participate in onsite/remote internal/external meetings and conferences with other teams, regulatory authorities, or other external parties as required to exchange information and develop relationships and processes in the team's/company's interest.

Requirements:

  • 5+ years of experience in Regulatory
  • A university degree in commerce, law, or risk management
  • Significant understanding of legal and regulatory compliance
  • Indepth understanding of the regulatory frameworks surrounding investment services
  • Proficiency in Microsoft Office and other major office suites
  • A knack for absorbing and comprehending compliance matters in international jurisdictions
  • Strong interpersonal skills and the capability to work with all levels of personnel with a high degree of integrity and maturity
  • Attention to detail, excellent organisational skills, with the ability to work on multiple priorities simultaneously
  • A cando attitude with an eagerness to learn and develop your career
  • Excellent spoken and written English communication skills

What's good to have

  • Diploma in Governance Risk and Compliance from the International Compliance Association (ICA) or equivalent qualifications in the compliance field
  • Knowledge of the MiFID regime and other EU legislations, including EMIR, MiFIR and MAR
  • Keeping uptodate with the developments of fintech solutions and the applicable legislation that may affect Deriv Group

Benefits:

  • Marketbased salary
  • Annual performance bonus
  • Health benefits
  • Casual dress code
  • Travel and internet allowances