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 (Financial Services)
Builds
Compliance policies, risk assessments, management information, and regulatory filings
Domain
Financial Services / Investment / Trading
Deliverable
dashboards & analysis
Required skills
Regulatory compliance knowledge, product governance, complaints management, financial promotions review, risk assessment, policy maintenance
Preferred skills
MiFID-regulated firm experience, commercial thinking, adaptability in fast-paced environments
Technologies
Compliance monitoring systems
Responsibilities
Advise on compliance for products and services, review and approve client complaints, review and approve financial promotions and client communications, maintain compliance policies, conduct desk-based reviews of systems and controls, produce risk assessments and board-level reports