Senior Manager - Compliance - Role Description The Compliance Senior Manager is responsible for providing support to the Compliance Leadership team to drive forward key regulatory Compliance initiatives. The key areas of focus are:
Providing advice and guidance on relevant laws and regulations and ensuring that Ebury remains up to date with emerging regulatory risks. Ensuring that Ebury's client and trade monitoring/surveillance programme provides assurance that our regulatory compliance obligations are being met. Ensuring that there is adequate second line monitoring of key regulatory risks such as conduct risk, conflicts of interest, complaints, CASS, Safeguarding and other risks as and when they are identified. Line management and day to day management of up to 3 Compliance Senior Analysts. Roles and responsibilities: Advisory:
Providing advice and guidance on business queries (e.g. licences, products, cross border, conflicts of interest, conduct) and regulatory reporting obligations. Conduct and regulatory breach investigations. Compliance scanning across Ebury jurisdictions. Development of regulatory policies and controls for new and existing products. Providing support to projects relating to new jurisdictions, verticals and products. Monitoring:
Ongoing development of the Compliance Monitoring Plan (CMP), including periodic horizon scanning and risk assessments to ensure that the scope remains complete and accurate. Ownership of maintenance and development of the Compliance Monitoring framework including specifications, sample sizes, frequencies, testing plans and scorecards for each element of the CMP. Execution of the CMP to assess compliance with all applicable regulations and internal standards. Analysis of findings and tracking of actions required on material risks through to closure. Main point of contact for all business requests for the establishment of monitoring items. Prepare management information on monitoring activity for relevant committees. Key skills and attributes: Experience of regulatory compliance and/or compliance monitoring or assurance working in an FCA regulated firm, ideally within a payments or fintech environment. Experience of designing monitoring plans and managing and continually improving compliance monitoring methodology.
Excellent organisational and problem solving skills. Confident in communicating compliance matters to a range of audiences. Strong stakeholder management skills. Regulatory knowledge of MiFID, CASS, COBS, FCA principles, financial promotions, best execution, client classification. LI-AK1
LI-Onsite
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