Compliance Officer, Crypto Facilities
- Be responsible for the ongoing compliance of the firm with all applicable regulatory requirements for operating a Multilateral Trading Facility (MTF).
- Be responsible for compliance matters associated with our activities under the Financial Conduct Authority’s (“FCA”) Client Assets Sourcebook (“CASS”) and, in turn, for the establishment and adequate functioning of appropriate policies, procedures
- Demonstrate an in-depth understanding of operational risks (including technology security risk, operational resilience and business continuity), conduct risks and prudential risks in order to build an effective risk monitoring programme
- Critical role in supporting the ongoing product development / delivery activity to ensure regulatory compliance is addressed at an early stage.
- Monitor internal and external business, regulatory and technology environments to identify new or emerging risks and verify remediation of issues as applicable.
- Be responsible for the submission and oversight of all regulatory reports/ad hoc filings, transaction reporting, STORs, etc
- Develop and oversee the Compliance Monitoring Programme
- Develop and maintain a relationship with the relevant local regulatory authority on behalf of Crypto Facilities
- Work closely with the CEO of Crypto Facilities and regional leadership to ensure close alignment and operational compliance efficiencies for regional group entities are implemented.
- Provide internal training as required.
Skills you should HODL
- J.D., L.L.M., M.B.A. or other advanced degree is preferred but not required
- 8+ years in a previous regulatory or compliance position at an FCA regulated financial institution (SMF 16)
- Experience within trading venue compliance at an FCA regulated firm
- Derivative Product experience across MiFID II
- Comprehensive knowledge of the UK regulatory environment, developments, and licensing requirements - particularly MiFID and CASS
- Familiarity with anti-money laundering and know-your-customer best practices in UK & EU markets
- Skilled in collaborating with stakeholders at all levels across technical and non-technical groups
- Ability to lead in a fast growing company environment with focused and hardworking individuals
- Strong preference for prior regulated crypto services experience