Job
Core
Provide expert compliance advice and ensure regulatory standards are met across products and services for a mobile broker serving millions of clients.
Role type
Compliance Officer / Compliance Advisor
Builds
Compliance frameworks, risk assessments, regulatory filings, and board-level reports for a mobile trading platform.
Domain
Financial Services / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance expertise, product governance, complaints management, financial promotions review, risk assessment, policy development
Preferred skills
MiFID-regulated firm experience, knowledge of regulatory frameworks
Technologies
N/A
Responsibilities
Advise on compliance for products and services including product governance and conflict of interest; Review and approve client complaints and financial promotions; Maintain compliance policies and procedures; Conduct desk-based reviews of systems and controls; Produce risk assessments and regulatory filings.
Seniority
Individual Contributor, 1-4 years experience