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Senior Regulatory Compliance Executive

Meraki Talent
London, United Kingdom
Closing date
Dec 22, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Meraki Talent are working with one of the worlds largest online brokers, who offer a variety of products to their client. They are looking to add a Senior Regulatory Compliance Executive their growing London team

Job Description
As a Senior Regulatory Compliance Executive, you'll be at the forefront of our compliance. Joining a dedicated regulatory team in the Group's compliance department, which looks after multiple aspects related to financial and banking regulation. Your focus will be on investment services regulation surrounding CFDs. Within a dynamic environment with growing regulatory challenges and product and process innovations, you'll be an essential part of business units, identifying relevant regulatory changes in time and initiating necessary measures to accommodate them.

Your role will entail the identification of emerging compliance trends and evaluating the need for enhanced compliance engagement in specific areas. Your task will involve effectively managing risks associated with non-compliance

Key Responsibilities
  • Monitor regulatory developments at the international, EU, and countries where the Group companies operate or plan to operate.
  • Analyse new regulatory requirements with a particular focus on investment services regulation.
  • Create, maintain, and implement compliance-related policies, conduct internal compliance reviews, and perform legislative gap analysis.
  • Execute the compliance monitoring programmes in a timely manner.
  • Support the implementation and monitoring of internal controls to ensure compliance with regulatory requirements and facilitate internal and external audits.
  • Prepare management presentations and communication on regulatory developments and potential challenges to management and affected business areas.
  • Submit regulatory reports mainly related to CRS, FATCA, MiFIR, and EMIR.
  • Collaborate in reviewing and assessing compliance business risk assessments.
  • Perform general administrative duties and any other duties and responsibilities
Essential Experience
  • 5+ years of experience in regulatory compliance, audit, or risk function
  • Undergraduate degree in legal, compliance, or related fields
  • Knowledge of investment services regulations
  • Strong interpersonal skills and the capability to work with all levels of personnel with a high degree of integrity and maturity
  • Ability to manage multiple projects with tight deadlines
  • Excellent spoken and written English communication skills

Desirable Experience
  • Work experience in a fintech organisation
  • Experience in European regulatory compliance projects

  • Competitive salary
  • Annual performance bonus
  • Health benefits
  • Casual dress code
  • Travel and internet allowances
  • A chance to work with top talent from across the globe (70+ nationalities)
  • Ample team-building and bonding activities
  • Great overseas travel opportunities

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