CMC Regulatory professional at Zoetis preparing regulatory documentation and ensuring compliance with FDA and USDA regulations. Managing facility documents and participating in cross - functional project improvements.
About the role
- Regulatory Compliance Officer at Moneycorp overseeing compliance for payment and MiFID entities. Supporting regulatory obligations and ensuring robust governance standards.
Responsibilities
- Provide oversight and Compliance support to the firm’s payments entity (TTT Moneycorp Limited) and MiFID entity (Moneycorp Financial Risk Management Limited) in executing the firm’s Regulatory Compliance programme
- Support the delivery and as necessary lead in Regulatory Compliance responsibilities across both Central Compliance and Compliance Advisory disciplines
- Draft, update, and maintain compliance policies and procedures
- Conduct horizon scanning, lead regulatory change initiatives, conduct impact assessments, and implement required actions or work with impacted stakeholders
- Provide guidance on MiFID and Payment Services Regulations including but not limited to Consumer Duty, Financial Promotions, Product Governance, CASS, and Safeguarding
- Review and approve financial promotions, marketing materials and mass client communications
- Perform second line of defence checks on client onboarding, including appropriateness and client categorisation
- Partner with HR to manage SMCR and PSD individual accountability programmes
- Prepare complaint files and draft responses for escalations to the Financial Ombudsman Service
- Gather data, submit and/or provide advisory support on non-financial regulatory returns and notifications via RegData/Connect
- Map, document and maintain the firm’s Compliance Universe, from regulatory obligations to business controls and policies
- Produce and enhance Management Information for Board and Committee reporting
Requirements
- Background in regulatory compliance - Essential
- Horizon Scanning / Regulatory Change Experience – Essential
- Experience working within a MiFID firm, Bank, Payment Service Provider or Regulator - Essential
- Industry accredited professional qualifications e.g. CISI, ICA – Desirable
- Experience in liaising with regulators – Desirable
- Strong understanding and experience in carrying out SM&CR administrative tasks – Essential
- Experience in reviewing financial promotions – Essential
- Strong understanding and working experience of the Consumer Duty obligations - Essential
- Experience in CASS and/or Safeguarding oversight – Desirable
- Experience in EMIR Reporting – Desirable
- Experience in navigating the FCA handbook – Desirable
- Proficient in Microsoft Office suite of applications
Benefits
- Private medical health insurance
- Discretionary bonus
- Flexible working policy allowing up to 2 days from home
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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