Job description: 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:
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.
Proficiency with workflow management tools such as Jira or similar platforms.
Solid skills in Excel and/or Google Sheets for data analysis and reporting.
Experience in the CFD/Spread Bet industry is a plus.
For further information please contact Hannah TabatabaiAbout this roleLocation:LondonSpecialism:Salary:£ Competitive salaryType:Reference:19268
Expected salary:
Location: London
Job date: Sat, 21 Jun 2025 04:26:39 GMT
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