Deputy Mlro and Regulatory Affairs Officer, Zodia

3 weeks ago

London, United Kingdom eFinancialCareers Full time

**Introduction**
Zodia Custody offers a unique value proposition. It combines the agility of a start-up with the dependability of a 167-year-old financial institution being Standard Chartered Bank.
Established in 2020, Zodia Custody is a subsidiary of Standard Chartered and in December of that year, it was announced that Northern Trust had become a co-investor in Zodia Custody. Zodia's association with both Standard Chartered and Northern Trust bringseach Bank's established custody approach to the market and provides institutional investors globally with the confidence to enter the space.
At Zodia Custody, we believe that secure custody services and higher industry standards are key to unlocking the institutional potential for the cryptoasset class.
**Business Department Strategy**
An overview of the Department and strategy.
The Compliance and Financial Crime team is responsible for all regulatory aspects for Zodia Custody ensuring the highest level of compliance management by maintaining business controls, providing advice to the business, assessing and mitigating risks and keepingup to date with all applicable regulatory jurisdictions. The Department is a key contact for all regulatory bodies that enable Zodia Custody to meet relevant regulatory obligation and practices.
**Scope of Role**
To maintain regulatory knowledge across all jurisdictions and global awareness and provide sound advice to the business supporting the Chief Compliance Officer/MLRO and CFCC team.
**Key Accountabilities**:

- To act as a key point of contact for regulatory affairs maintaining a log of regulatory queries
- Central administration of all relevant regulatory engagements/requirements.
- Support the MLRO/CCO in delivery of Financial Crime Compliance and Regulatory Compliance Policy Standards, Governance and Process.
- Support the maintenance of Financial Crime and Regulatory Compliance policy (and associated documents) in the Group's Standards
- Identify, distil and disseminate regulatory developments, considering the impact on policies, procedures, processes and controls.
- To implement a CFCC monitoring framework that assists the business in managing relevant and necessary regulatory practices. This includes defining detection scenarios, red flag, rules in relation to CFCC risks
- Support Zodia Businesses and Zodia Functions in delivering change in relation to regulatory developments.
- Support the preparation, co-ordination and management of new and on-going regulatory engagements and reporting.
- Carry out periodic analysis of risks by ensuring risk assessments are undertaken for the business units and products
- Review and handle cases escalated for CFCC reviews (Name Screening, Transaction Monitoring, Periodic & Trigger Review Client Due Diligence and Correspondent Relationship Due Diligence cases, fraud alerts), ensuring proposals to the MLRO/Deputy.
- Conduct investigations following red flag triggers by monitoring system or by any other channels.
- Coordinate and supports the preparation of government filings such as Suspicious Activities Reporting.
- Ensures timely escalation of incidents, control breaches and conduct matters to relevant stakeholders and ensure fully investigated with key stakeholders where relevant.
- Active speaker representing Zodia CFCC at relevant conferences / working groups.
- Initiate, support drafting of external post/articles from a CFCC lens relevant to Zodia Custody activities
- Manage, provide guidance, support and mentor CFCC team.
- Identify CFCC training requirements for the CFCC team, for Business and for other functions teams.
- Develop training decks and train Zodia staff in order to continually educate staff on CFCC risks, Regulatory requirements, Policies and Standards and associated control framework.
- Work closely with colleagues supporting a strong culture of compliance across the Zodia business as a whole, including particular sensitivity to emerging regulatory risk and the changing face of the UK regulatory landscape.
- Support the DPO by monitoring compliance with the UK GDPR and other data protection laws, Zodia data protection policies, awareness-raising, training, and audits.
- To act as Deputy DPO in DPO absence.
- Other responsibilities as delegated by line management from time to time

**Key Stakeholders**:

- CCO and MLRO
- Chief Risk Officer and Team
- COO
- Product Head
- Sales, RM and client on-boarding team

**Qualifications & Experience**:

- Previous relevant working experience in regulatory affairs team, and ideally experience in CFCC advisory
- Sound knowledge of FCA/PRA/MIFID/SEC/CFTC and/or EU regulations (including GDPR); emerging issues and trends in Cryptoassets or at least in financial industries regulatory environment.
- Possess sound analytical and presentation skills
- Delivery of high-quality work, in a limited amount of time
- Keen eye for detail.
- Able to multitask, prioritize, and meet deadlines.
- Excellent written and communication skills in English
- Network management skills to take responsibility to lead/run in a multi-dimensional business environment.
- Ability to handle sensitive material responsibly and is trustworthy with sensitive information.
- Previous Cryptoasset services provider experience desirable
- A degree in Law is desirable
- ACAMS, CISI Level 6 in Compliance or equivalent is required
- Certified or proven experience on blockchain analysis tool is a significant plus

**Valued Behaviours**
The organisation is committed to diversity and inclusion. By providing equal opportunities we foster a work environment which embraces diversity and gets the best out of the broadest spectrum of people to sustain business performance and competitive advantage.We build an inclusive culture by demonstra

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