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My Client is a global payments firm based in London £50,000 - £70,000
You will be an integral part of the compliance team and manage a junior member of the team.
Development and Implementation of EMEA based compliance monitoring programme, and testing of the plan – including monitoring of key regulatory areas such as CASS, EMR, PSR, COBS and TCF
Ensuring first line functions are aware of their monitoring obligations, with review of specific areas completed and reports drafted and circulated to relevant Heads of Desk and Regional Compliance Officer (RCO)
Advising the business on regulatory requirements and assisting on implementation of new and amended regulations coming into force
Producing gap analyses on up-coming regulatory change, FCA consultation papers and Regulatory Technical Standards to identify key control and information gaps in the business operations
Producing reports for senior management, Audit and Risk Committee meetings and Board papers
Maintaining accurate records of monitoring outcomes for each EMEA entity of the business
Drafting and submitting notifications and applications to the FCA where necessary
Build relationships with key stakeholders in the business including Heads of Desk, Country Managers, Group Compliance and Legal and Executive Team
Providing monthly MI reporting of monitoring results and progress against plan to ensure Senior Management are aware of the key risks and allow for root cause analysis
Identify gaps in policies and procedures, and submitting recommendations for improvements
Advising on changes required in line with regulatory developments in EMEA
Auditing the controls in place to mitigate identified risks and reporting on the effectiveness of the controls
Promoting adherence to best practice and providing training to teams across the business
Support the review and publication of financial promotions