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A large organisation is currently looking to make an experienced hire in their regulatory compliance team. This role assists the organisation in understanding the regulatory compliance and regulatory risk management matters, including dealing with regulatory requests, the application of the FCA handbook and MiFID 2 requirements in relation to FX Options products.
The role is heavily focused on compliance and regulatory risk management matters, including dealing with regulatory requests, the application of the FCA handbook and MiFID 2 requirements.
The main responsibilities include:
Supply risk and compliance advice to the business and management primarily those impacting FX Options
Shown the ability to design, write and implement additional governance frameworks, policies, procedures and systems
Deliver face to face training to all parts of the business primarily sales and dealing
Assign review marketing materials and provide concise advice
Manage regulatory compliance projects, including implementation of legislation / regulation.
Ensure timely and effective responses to customer complaints and any policy breaches
Assist the compliance monitoring team in relation to their design and testing
Detailed understanding of FX Options and E-Money regulation.
Knowledgeable understanding of providing regulatory compliance advice
Personable person, with shown ability to work well and establish themselves in a team environment
Great attention to detail and shown ability to produce high quality advice
Experience reviewing and updating Compliance Policies.
Excellent written and verbal communication skills.
Ability to deal with problems in a practical and common sense way, and make sound decisions (commercial approach and understanding of issues facing the firm).
Ability to work with a degree of independence and autonomy and provide methodical updates