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Regulatory Compliance Associate


Expat Job

Regulatory Compliance Associate


£ 3000 to £ 4000 per month




September 19 2021

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About the job:

We are seeking an experienced and qualified Compliance Associate with the knowledge of the regulatory regime impacting Authorised Payment Institutions (APIS), E-Money Institutions (EMIS) and Experience of working in a global and fast-paced business environment.

Main responsibilities:

- Providing risk and compliance advice to the business and management on a range of regulatory issues which include process enhancement and controls of new product developments.
- Providing face to face training to the business.
- Designing, writing and implementing governance frameworks, policies, procedures, and systems as the case may be.
- Liaising with and reporting to regulators globally which will include license applications.
- Auditing preparation works as the case may be.
- Overseeing and monitoring the implementation of the global compliance program which includes the review of the compliance program from time to time and ensuring the firm comply with the law and regulatory requirements in case there is a change in firm’s business and the legal or regulatory requirements.
- Undertaking operational process review to ensure the compliance of the firm with regulatory requirements as the case may be.
- Managing the regulatory compliance projects as well as the implementation of legislation and regulation as the case may be.
- Designing and conducting periodic risk assessments and produce reports as the case may be.
- Completing and closing any corrective action plans in a bid of reducing any risk associated with the activities of the firm.
- Implementing the compliance training as well as monitoring plans to ensure that the employees and management are fully aware of the compliance requirements.
- Investigating, recording and ensuring timely and effective responses to customer complaints as well as any policy breaches which include developing the necessary corrective solutions as the case may be.
- Providing advice as well as training and managing more junior members of the compliance team.
- Working closely with technology teams to identify and implement automated solutions to continually enhance compliance processes as the case may be.
- Keeping abreast of key regulatory changes which may have an impact on the firm’s businesses.
- Assisting with weekly and monthly reporting.

Skills and experience:

- Experience with PSD and the provision of regulatory compliance advice is required.
- Experience in reviewing and updating compliance policies is of the essence.
- Experience working in a global environment.
- Ability to work well within a team environment as well as build relationships with people.
- Excellent written and verbal communication skills
- Ability to deal with problems in a practical and common sense way as well as make sound decisions which will have an impact on the firm.
- Ability to understand issues facing the firm and take a commercial approach towards it.
- Ability to work freely, independently and with a degree of autonomy
- Ability to pay good attention to detail as well as produce high quality advice.

Preferred qualifications:

- Academic qualifications in law or compliance.
- Experience in ebury’s current or new markets as the case may be.

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