Compliance Operations Officer

THE COMPANY:

Our client is a leading trading platform that is ambitiously expanding their Business.  They are looking to hire a Compliance Operations Officer on a permanent basis.

This will be a hybrid working role, with 3 days in the office per week.

THE RESPONSIBILITIES:

• Maintain an up-to-date understanding of relevant aspects of prevailing business practices and relevant regulations across the jurisdictions in which the Group operates.
• Ensure any issues arising are satisfactorily identified, investigated, addressed and resolved as and when required.
• Design Policies and Procedures and improve existing frameworks to adapt with current and/or emerging business and regulatory needs.
• Collaborate with the Compliance and Operations teams to translate regulatory requirements into practical operational procedures.
• Monitor and assess the effectiveness of the Group’s existing Policies and Procedures.
• Analyse data and produce Management Information and reports as required to ensure sufficient level of oversight by the relevant stakeholders.
• Engage with internal and external auditors with confidence, where required.
• Act as an adviser to Senior Management and other members of the Group on general compliance and operational issues as required.
• Work with Compliance and Risk Management to investigate and resolve operational compliance issues.
• Establish and oversee incident reporting mechanisms for regulatory breaches.
• Identify gaps in operational workflows that may pose compliance risks and recommend improvements.
• Support and initiate automation and technology solutions to streamline and improve the Group’s regulatory operations..
• Work closely with other functions of the business such as Product, IT, Back Office or Customer Support to ensure general efficiencies and regulatory adherence.

EXPERIENCE REQUIRED:

• Experience in the CFD/Spread Bet industry is desirable
• Global experience would be useful , exposure to global  jurisdictions, new product initiatives and implementation of regulations around this
• At least 3 years of experience in a Compliance, Operations, or a hybrid role within a regulated industry.
• Strong understanding of industry-specific and international regulatory frameworks and operational best practices.
• Demonstrate framework and implementation experience
• Proficiency with workflow management tools such as Jira or similar platforms.
• Solid skills in Excel and/or Google Sheets for data analysis and reporting.

For further information please contact Hannah Tabatabai