Moneycorp

Regulatory Compliance Officer

Moneycorp

full-time

Posted on:

Location Type: Hybrid

Location: Coventry • United Kingdom

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About the role

  • 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
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
regulatory compliancehorizon scanningregulatory changeSM&CR administrative tasksfinancial promotions reviewConsumer Duty obligationsCASS oversightSafeguarding oversightEMIR ReportingFCA handbook navigation
Certifications
CISIICA