Compliance

• Contribute to licence applications and regulatory projects, including programmes of operations, business plans, AML/CFT frameworks, safeguarding, governance and outsourcing descriptions
• Build regulatory requirement matrices and application document maps; own evidence collection and document control
• Prepare and coordinate responses to RFIs and comments from regulators, external counsel and consultants
• Draft, review and maintain policies, procedures, methodologies, risk assessments and control descriptions
• Track implementation of regulatory commitments after submission and verify that controls operate in practice
• Advise on new products, partners, jurisdictions, outsourcing arrangements and business model changes
• Review and advise on complex AML, sanctions, CDD/KYB and transaction monitoring escalations
• Monitor regulatory developments and translate their impact into changes to policies, processes and controls
• Run gap analyses, thematic reviews and risk assessments; coordinate remediation of findings and breaches
• Support regulatory reporting, notifications, audits and inspections
• Provide compliance guidance and training to the business
• Report directly to the Global Chief Compliance Officer and collaborate with Compliance/AML, Legal, Product, Operations, Finance, Risk and Security

Compliance jobs in Europe

Senior Compliance Officer, Regulatory Focus