Senior Specialist responsible for corrective actions in Global Trade Compliance at L3Harris. Track compliance incidents and facilitate corrective action processes across US and non - US jurisdictions.
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
Regulatory Affair Specialist at Capgemini Engineering ensuring regulatory compliance with medical device documentation. Supporting regulatory activities and monitoring the regulatory context impact on site processes.
Compliance Analyst role at Leve Saúde ensuring adherence to regulations in the health sector. Responsibilities include audits, policy management, and due diligence processes.
Governance, Risk & Compliance Specialist at Quilter providing oversight on governance, risk, and compliance activities, strengthening Quilter Invest’s risk management culture across the organization.
Regulatory Specialist responsible for contributions in public consultations and regulatory studies. Engaging with institutional relations and ensuring adherence to energy regulations in Brazil.
Working Student supporting regulatory and compliance efforts at Paymenttools' e - money institution. Collaborating on risk management and compliance projects in a hybrid role based in Cologne.
Senior Consultant Regulatory Affairs participating in pharmaceutical projects focused on market access and regulatory compliance. Joining Deloitte's sector regulation team based in Madrid.
Trade Compliance Officer managing stakeholder compliance with UK and US export laws. Contributing to trade policies and documentation for international imports and exports in a hybrid role.
Expert HSE Compliance role focused on environmental regulations and safety in energy production at EniBioch4in. Overseeing compliance, audits, and promoting HSE culture across facilities.
Junior Regulatory Reporting Operations Specialist analyzing vast trade reporting data and ensuring regulatory reporting quality at SEB. Collaborating with teams to resolve reporting issues for regulatory compliance.