To monitor and, on a regular basis;
To assess the adequacy and effectiveness of the measures and procedures put in place to ensure the Company’s compliance with its regulatory obligations; and
To take action and address any deficiencies, and to advise and assist the relevant persons responsible for carrying out regulated activities in order to comply with the Company’s regulatory obligations.
- Ensure compliance with FCA regulations, in particular the rules relating to Conduct of Business (“COBS”).
- Report to the UK Head of Compliance on the effectiveness of compliance procedures, the provision and analysis of appropriate management Information, and regulatory updates relevant to the Company.
- Assist in compliance oversight of all activities outsourced to other entities.
- Execution of a risk-based compliance monitoring programme (related to the Company’s operations), in line with regulatory guidelines and in conjunction with business and compliance departments in other parts of the eToro group.
- Monitor the complaints handling process and review and report on root cause analysis.
- Compliance oversight of financial promotions issued by the Company.
- Assist with customer due diligence and AML tasks, including the oversight and monitoring of functions performed by other group companies on behalf of the Company.
- Investigation of suspicious activities and suspicious transactions and orders.
- Carrying out of regular assessments of staff fitness and propriety, ensuring that all staff receive appropriate training.
- Assist in the administration of the Senior Managers and Certification Function Regime.
- Assist in the documentation of internal controls, policies and procedures.
- Assist in the preparation and subsequent submission to the FCA of all non-finance (including CASS) reports.
- The preferred candidate will have previous experience working within a regulatory environment, ideally as a generalist, with experience of a wide range of regulatory and compliance areas – including AML, client on boarding, financial promotions, transaction monitoring, approved persons, complaints handling etc.
- The preferred candidate is articulate, numerate and can grasp complex concepts with ease.
- Be able to work within a fast-paced and dynamic environment.
- Report to the UK Head of Compliance and Operations and work proactively to handle structured and ad-hoc tasks that form a large part of the business’ compliance monitoring programme.
- The candidate should be educated to university degree level.