Compliance Risk Oversight Specialist

2 weeks ago

London, Greater London, United Kingdom Interactive Brokers Full time

About the Role


We are seeking a highly skilled Compliance Risk Oversight Specialist to join our team at Interactive Brokers (U.K.) Limited in London. As a key member of our Compliance department, you will be responsible for driving compliance oversight through testing and monitoring programs.


Job Description



  • Design and maintain testing and monitoring programmes for relevant regulatory areas, including financial promotions, product governance, and other related matters under MiFID II/FCA Handbook.
  • Identify areas for enhancements of systems and controls operated by the firm and support the implementation of required changes.
  • Liaise with control owners to discuss and agree on remedial actions emerging from testing and monitoring activities.
  • Report on outcomes and conclusions of testing and monitoring and ancillary activities, including remediation of any gaps identified.
  • Maintain records of all remediations following assurance work and prepare management presentations and communication on regulatory developments and Compliance Monitoring Framework.
  • Create, maintain, and implement compliance-related policies; conduct internal compliance reviews and perform legislative and regulatory gap analysis.
  • Assist the Compliance department with its advisory role in the business by conducting research, processing requests, and queries.
  • Manage FCA's and European product governance regulatory requirements, including regulatory compliance advice in periodic reviews of regulatory change impact.
  • Monitor changes to the business and areas of regulatory change and work with colleagues to assess the impact on the compliance testing and monitoring plan and the business.

Requirements



  • Bachelor's degree or equivalent.
  • Prior 3+ years' experience in regulatory compliance, audit, or risk function in an investment or platform-based environment, ideally within areas of General Compliance or Investment Compliance.
  • Knowledge of applicable regulatory framework, including Conduct Risk, Consumer Duty, COBS, PERG, SYSC, PROD, and other relevant FCA sourcebooks.
  • Outstanding analytical, problem-solving, organisation, and follow-up skills.
  • An analytical mind and ability to recognise and pinpoint complexities of procedures and regulations but then simplify these for others.
  • A pragmatic, commercial, and creative approach to problem solving and decision-making.
  • A team player with great people skills who can effectively collaborate with colleagues throughout the business to build strong relationships and achieve results.
  • High degree of comfort with technology and functional understanding of how technology can be applied to business and regulatory solutions (strong Excel skills are a must).
  • Ability to work independently, exercising judgement with discretion, and manage multiple, deadline-driven priorities with strong attention to detail in a fast-paced work environment.
  • Ability to work under pressure, formulate and articulate solutions, and defend assumptions.
  • Versatile as the needs and demands of the team evolve.

Salary and Benefits


The salary for this role is £65,000 per annum, plus benefits including a performance-based discretionary cash bonus scheme, discretionary stock grant, group life assurance cover, group income protection, occupation pension scheme based on gross earnings, hybrid working model, above statutory annual leave increasing with service, daily company-paid lunch, and healthy snack options when working from the office.


About Us


Interactive Brokers (UK) values promoting, monitoring, implementing best practices, policies, and procedures and culture in adhering to and promoting the FCA Consumer Duty with the organisation.

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