Mid-level compliance generalist to support the day-to-day running of the digital asset MTF.
The opportunity will give the right candidate the chance to join both a rapidly growing compliance team and organisation, and with it the benefits of autonomy and rapid career progression.
The interview process will run in stages and will include both qualitative and quantitative components.
Immediate start date.
Salary range up to £55K.
- Conduct monitoring of compliance processes, investigating potential breaches, and providing appropriate MI
- Day-to-day responsibility for conducting punctual regulatory reporting in accordance with requirements and in close coordination with internal businesses and functions
- Administering robust procedures to track changing regulatory requirements and documenting regulatory submissions
- Advising and responding to enquires in relation to compliance with all other business areas
- Managing the Compliance function inbox
- Identify breaches and provide appropriate reporting to management
- Specific focus on in the implementation of the CMP, SMCR, and Fin Proms rules
- Support the CASS function from a policy point of view
- Take ownership of the design and redesign of new and existing internal policies, systems, and controls
- Assist the MLRO & DMLRO with continuous improvement ideas on processes and systems
Required Skills and Experience:
- Experience in a general financial compliance role within primary and/or secondary market infrastructures with demonstrable oversight and responsibility of functions
- Diligent record keeping, able to track many complex reports
- Knowledge and interest in financial innovation and specifically blockchain/DLT
- Knowledge and understanding of AML/KYC rules and processes and demonstrable CDD/EDD experience
- Knowledge and understanding of both equity and debt primary and secondary markets
- Self-motivation, able to work autonomously and methodically (entrepreneurialism a bonus)
- Understanding of market monitoring and surveillance (primary and/or secondary)
- Effective work prioritisation
- Demonstrable stakeholder management skills
- Attention to detail and willingness to work across multiple workstreams