Strong fit for compliance professionals with financial services experience who prioritize regulatory monitoring and document rationale for decisions.
Derived from job-description analysis by Serendipath's career intelligence engine.
Original posting from Capital via Lever
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.
Responsibilities::
- Carry out reviews under the Annual Compliance Monitoring Programme and help prepare reports for senior management and the Board.
- Monitor CySEC, ESMA and EU regulatory developments, assess their impact and follow up with the relevant teams.
- Prepare regulatory updates and support reports and responses to regulators.
- Conduct MiFID II target market assessments and ongoing product governance reviews.
- Review client requests for professional or experienced retail classification and document the rationale for each decision.
- Assess client vulnerability escalations, determine the appropriate action and document a timely human decision.
- Act as the primary contact person for compliance queries raised internally.
- Help draft and update compliance policies, procedures and the Internal Operations Manual.
- Conduct initial and periodic due diligence on outsourcing providers and other third parties.
- Maintain compliance registers and support internal audits, regulatory inspections and staff training.
Requirements::
- Bachelor’s degree in Law, Finance, Business or related field.
- CySEC Advanced Certification, or availability to obtain it during the probation period.
- Minimum of 2-3 years of experience in compliance, preferably within the financial services industry, with a focus on online trading or brokerage.
- Experience with compliance monitoring, regulatory change or product governance.
- Sound judgment and the ability to prioritise time-sensitive cases.
- Strong written communication and organisational skills.
- Excellent written and verbal English communication skills.
What you will get in return:
- Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
- Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid
- Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
- Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
- Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks!
- Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
- Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.
Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.
Source: Capital careers (Lever)