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Regulatory Compliance Officer

3 months ago

UK, UK, United Kingdom FS Talent Group Full time

Regulatory Compliance Officer

Financial Services (FX Brokerage)

London - Office Based

£60k - £70k


We are working with a well established and growing FX & Payments business that allows businesses to trade globally.


About the role:

The Regulatory Compliance Officer will report to the Head of Regulatory Compliance and will work in a team of 4, playing an important part of the compliance oversight for the firm. Experience in FX and Payment Services products from small to mid-sized brokerage is preferred.


Key responsibilities:

As a Regulatory Compliance Officer, you will be responsible for:

  • Performing horizon monitoring to ensure the business is aware of and well prepared for upcoming legislative changes.
  • Creating new policies and procedures where required following new regulations.
  • Ensuring existing policies and procedures are reviewed and updated
  • Providing compliance guidance and advice to the firm’s staff in relation to Compliance matters
  • Supporting the team with on-going projects, ad-hoc requests and administration
  • Conduct second line monitoring activities
  • Assisting with trade reporting under EMIR for the group
  • Prepare and deliver training to the business when required
  • Assisting in producing Management Information (MI)
  • Assisting the Head of Regulatory compliance with all of the firms regulatory requirements under SMCR


Office is in Central London and this role is office based.


Essential experience & skills:

  • We want to set you up for success and we believe these experiences and skills will help you thrive in this role:
  • 4+ years’ experience in a regulatory compliance based role in the financial services sector (preferably in a small to mid-sized brokerage)
  • A good knowledge and understanding of MiFID 2, EMIR, PSD SMCR
  • Excellent communication skills
  • Proven ability of working to tight deadlines, through an ability to prioritise and manage workloads