Senior Compliance Analyst responsible for analyzing capital markets operations and ensuring regulatory compliance. Collaborating with teams to detect and manage market abuse risks.
About the role
- Regulatory Compliance Officer supporting Plum's compliance team in the UK financial services sector. Responsibilities include compliance monitoring and liaising with regulatory bodies while ensuring adherence to FCA rules.
Responsibilities
- Develop and assist in the implementation of compliance policies and procedures by engaging in drafting and/or updating them to ensure adherence to all applicable regulations.
- Conduct checks, risk assessments and assist in the production of compliance reports, in accordance with our Compliance Monitoring Programme to ensure regular reviews and assessments.
- Execute checks in connection with Consumer Duty and support the build-out of the firm’s Consumer Duty framework.
- Provide oversight of ISA and/or investment product operations to ensure adherence to UK regulatory requirements, including FCA rules and HMRC ISA Regulations.
- Review marketing, advertising and press material to ensure they comply with regulatory requirements.
- Design and monitor the implementation of the annual compliance plan, and deal with internal ad-hoc compliance requests to ensure that internal processes and policies are applied.
- Investigate from a compliance and financial crime perspective, any SARs escalations, complaints, incidents, breach of data laws, fraud-related requests and any other compliance or financial crime related request received by the Compliance Team, for review and input.
- Prepare compliance reports addressed to the regulators to support the Compliance Team in their role as a liaison between the company and regulatory bodies.
- Compile and prepare compliance and financial crime regulatory filings and respond to requests from our partners.
- Prepare compliance training addressed to the employees of the company.
- Maintain the Compliance Team’s files, cases and issues, achieve deadlines and document actions needed/requested.
- Share knowledge and experience with peers through team meetings, presentations and collaboration sessions.
- Work cooperatively with other teams such as the Products’ Team, Customer Service, Fraud Team, Finance Team, Data Team, Risk Management Team, Partnerships’ Team and Marketing Team.
- Monitor regulatory changes, amendments, trends or any other developments that may impact our operations and update internal records accordingly.
Requirements
- Bachelor’s degree in law, economics, business, or a related field. MBA or Master’s degree in Law/European Banking/Payments Regulation, Risk Management or in related fields will be considered a strong plus.
- At least 2–3 years of experience in a compliance-related role within the financial services industry. Relevant sectors include: Payments, Banking, Investment Services.
- Demonstrable experience in the oversight of ISAs and/or investment products in the UK, with a strong understanding of relevant FCA rules and HMRC ISA Regulations.
- Knowledge of FCA and EU compliance and AML/TF regulation, including GDPR and investment services regulation.
- Experience in compliance monitoring, including designing and delivering against a compliance monitoring plan, will be considered a strong advantage.
- Excellent written and verbal communication skills in English.
- Strong analytical skills and attention to detail.
- Ability to work both independently and in a team environment, to complete assigned tasks.
- Ability to prioritise multiple tasks and bring tasks to completion within established timeframes.
- Professional certification in compliance (such as ICA or CISI) will be considered an advantage.
Benefits
- Own part of the company you're helping grow through stock options
- Private health insurance
- Annual training budget
- Plum Premium for free
- Competitive referral scheme
- Flexible approach to remote working: we encourage at least 2 days a week in one of our beautiful offices in London, Athens or Cyprus
- Team breakfasts and team lunches
- 25 days holiday + bank holidays
- 45 work-from-anywhere days to give you flexibility to work your way
- 2 weeks sabbatical after 4 years to take the break you deserve
- Enhanced parental leave
- 1 paid volunteering day annually
- Annual team trip to a surprise destination!
- A fun, inclusive company culture (think 🦄🌈💯)
Job title
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