Regulatory Compliance Specialist

6 days ago

London Area, United Kingdom Coopman Search and Selection | B Corp™ Full time

Coopman Search & Selection, a Certified B Corporation, is partnering with a globally recognized foreign exchange brokerage to fill a Regulatory Compliance Analyst position. This role is part of a tight-knit team with generalist responsibility that will have a real impact on the business' wider Compliance programme.

Key Responsibilities:

  • Foster relationships with front office staff to enhance their understanding of regulatory obligations and ensure adherence to rules.
  • Monitor front office operations for compliance with regulatory requirements, escalate issues as needed, and implement corrective actions.
  • Conduct compliance reviews and assessments of front office activities to identify areas of weakness.
  • Test controls to ensure business operations comply with regulatory requirements and provide advice and guidance to the business.
  • Generate management information reports on surveillance, liaison, and training efforts to support the Compliance Monitoring and Surveillance Programme.
  • Lead remediation projects for areas of compliance weakness identified by the second line of defence and contribute to the alignment of policies and procedures with actual practices.
  • Assist with ad-hoc compliance tasks and coverage of team responsibilities to promote a culture of conduct and compliance throughout the organization.

Core Competencies & Experience:

  • Experience of working within the Compliance function of a regulated Investment firm, preferably in the FX and Payments sector.
  • Demonstrable experience of providing Compliance advice to the business and implementing solutions to bolster first line defences.
  • Existing knowledge of FCA regulations, MiFID II, MiFIR & EMIR rules and guidance, and the ability to horizon scan for future developments.
  • Strong knowledge of the regulatory environment for FX and Payments firms and a degree-educated professional with relevant qualifications.
  • Ability to work strongly in a team and foster a positive relationship with stakeholders from different business lines and varying levels of seniority.

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