– own delivery on reg enquiries, be a key contact for regional regulators
– provide compliance advisory/partnership function for the business and product development on applicable rules and regs
– Aligning policies and procedures to reg requirements and undertaking periodic review, incorporating monitoring procedures for a key line of business.
– as a compliance SME partner with Risk and other governance functions on compliance risk issues
– champion the compliance agenda – providing training to business with a focus on sales/product teams
– Complex Banking/Financial services compliance experience (Etrading- multiple asset lines ideally or Exchange/reporting services compliance experience
– deep UK/EU reg reporting framework knowledge – with a focus on FCA Handbook, MiFID II reporting requirements coupled with implementation of regulator expectations (FCA/ESMA)
– drafting & implementing compliance policies and procedures