Regulatory Compliance Director

Key Responsibilities

• Compliance Oversight: Provide local leadership to the UK Compliance team ensuring that all activities of the organisation comply with applicable laws, regulations, and industry standards.
• Policy Development: Oversee Horizon Scanning to effectively develop, review, and update compliance policies and procedures to reflect changes in regulations and industry best practices.
• Market Abuse: Build out and oversee the group wide process for managing Market Abuse and Insider risk.
• Shared Service Oversight: Oversee adherence of outsourced (to Copper Technologies UK) compliance systems and controls, track KPI/KRIs and escalated no-adherence to SLA timelines.
• Dashboards: Maintain SharePoint Dashboards for tracking/approving Conflicts of Interest, Gifts & Entertainment, Outside Business Interests, Marketing and Financial Promotions
• Risk Assessment: Conduct risk assessments and monitor compliance risks, implementing measures to mitigate potential issues.
• Training and Education: Coordinate and conduct compliance training programs for employees to ensure awareness and understanding of compliance requirements.
• Management Information: Support the CCO in the preparation of weekly/monthly MI reporting and prepare materials for applicable compliance forums and committees.
• Audits and Examinations: Support MLRO’s who outsource services to Copper Technologies with regulatory audits and examinations, liaising with local MLRO’s and CEO’s as needed.
• Compliance Monitoring: Establish and maintain an effective compliance monitoring program to track and report on compliance activities.
• Advisory Role: Provide compliance advice and guidance to the business, in particular those in client facing roles.
• Business & Product: Lead compliance advisor/approver for new product approvals and product/service reviews including Crypto Asset Reviews.

Qualification & Requirements

Essential

• Proven experience in a senior compliance role within the financial services industry with broad experience of trade surveillance and Market Conduct rules.
• Knowledge of crypto, derivates, buy/sell side, funds, trading, technology, including product suite, services, systems, and key risks.
• Strong understanding of UK and EU (including Swiss) regulatory requirements.
• Knowledge of anti-money laundering (AML) regulations and practices.
• High level of integrity and ethical standards.
• Extensive prior professional working knowledge & experience gained from applicable financial services firm (or equivalent). Must be capable to work effectively within a fast-growth technology environment.

Desirable

• Bachelor’s degree in a relevant field; advanced degree preferred.
• Professional certification in compliance (e.g., ICA Diploma or CAMS) is a plus.
• Accomplished in negotiating, advising, and reviewing a broad range of compliance, risk and control matters.
• Ability to interpret, understand and advise all levels of seniority in the business of an appropriate course of action on a broad range of legal, compliance and regulatory provisions.
• Experience with prime brokerage, collateral management, stock borrow lending is preferred.
• Understanding of US and UAE regulatory frameworks an advantage

Benefits

• Holidays: 27 days per annum paid holiday, in addition to bank holidays
• Years of Service Days: Employees are awarded one additional day of paid time off per year of service (up to three years)
• Vitality Health:
  • Medical Insurance: Copper provides all employees with individual cover. Medical history is disregarded, and a 24/7 virtual GP is available (£100 excess per person per year)
  • Dental Insurance: Comprehensive dental cover for preventative, restorative and emergency treatment
  • Audiology Cover: Employees can claim back up 80% of costs, up to £300, for any hearing tests or hearing aids
  • Optical Cover: £500 optical cover (through Vision Express) or 80% reimbursement up to £300 for any other optician
  • Menopause Support: Unlimited support for those experiencing symptoms of the menopause, such as video consultations with a dedicated menopause practitioner
  • Vitality services also include an additional £100 for minor diagnostic tests and private prescriptions, including home diagnostics
  • Headspace – Copper’s policy provides all employees with a free Headspace subscription. Headspace provides great resources to manage stress, improve sleep, meditate and enhance mindfulness
  • Discounts and free benefits – the Vitality programme has been designed for preventative care to encourage members to improve their overall health and will reward those for doing so. Employees can access additional benefits such as 50% off running shoes, discounted health screenings, 50% off at Nuffield Health or Virgin Active gyms and much more
• Home Working Energy Support Scheme: to combat energy prices increasing globally, Copper will provide you, in addition to your salary, with a monthly top-up of £60 or £75 (subject to your energy supplier)
• Pension up to 10% matched contribution to our company pension scheme via Smart Pensions
• Cycle to Work
• Life Insurance cover: Four times your base salary
• EAP: access unlimited mental health consultations and contact a 24/7 confidential helpline for emotional support
• Unmind
• Sponsored Learning and Development opportunities
• Regular company events and social activities