A leading provider of regulatory risk software is seeking an experienced Compliance Officer to support our customers using the AQMetrics platform for their global compliance obligations. We are a team that draws on our regulatory, fund and data automation knowledge and experience to help our customers achieve compliance with the innovative AQMetrics platform.
Job Description:
We are looking for a skilled Compliance Officer to provide advice on MiFIR transaction reporting and other relevant regulatory requirements. You will work closely with our technical operations and customer success teams to identify areas of Compliance risk and inefficient controls. Your duties will include reviewing and maintaining our Compliance Manual and Monitoring Plan, conducting Compliance activities, and executing our annual Compliance Plan in line with regulatory requirements.
Responsibilities:
* Provide interpretation of MiFIR transaction reporting and other regulatory requirements to business stakeholders
* Review and challenge implementation of MiFIR transaction reporting and other regulatory requirements
* Collaborate with technical operations and customer success teams to identify Compliance risks and inefficiencies
* Assess updates to DRSP MiFIR transaction reporting regulations and communicate changes effectively
* Review and maintain Compliance Manual and Monitoring Plan
* Conduct Compliance activities as set out in the Manual and Monitoring Plan
* Execute annual Compliance Plan in line with standard methodology and regulatory requirements
* Escalate Compliance issues arising during activities performed
* Support preparation of reports and updates on Compliance Plan status
* Ensure timely and accurate completion of regulatory reporting to ESMA and EU NCAs
* Participate in review of internal policies and procedures and provide compliance advice
* Develop and deliver Compliance training
Requirements:
* Rlevant 3rd Level Degree preferably with legal content
* Formal qualification in Compliance
* At least 3-6 years experience in compliance or internal audit environment in financial services
* Data-driven approach with ability to make rational decisions
* Solution-driven perspective with analysis skills
* Excellent written and verbal communication skills
* Organised individual with self-management skills
* Ability to establish reliable point of contact for internal and external parties
Benefits:
* Opportunity to be part of growing company
* People-centric culture
* Competitive salary
* Upskilling opportunities
* Employee Assistance Programme
* Pension scheme
* Healthcare for employees and their families
* Flexible working
* Bike to Work scheme
* Active social club
Interview Process:
Our interview process typically involves introductory call, technical assessment, phone interview, and onsite interview. We are an equal-opportunity employer committed to an inclusive and diverse work environment.