Regulatory Compliance Manager (Wealth and Trading)

Revolut; Cádiz; Presencial; EUR 50.000 - 70.000; Jornada completa

Descripción de la vacante

A leading company in the financial sector is hiring a Regulatory Compliance Manager to oversee the implementation of its Private Banking regulatory framework. The role involves interpreting regulatory texts, training staff, and ensuring compliance with European regulations, making it essential for safeguarding investor interests and maintaining operational integrity.

Formación

• 2+ years of experience in compliance risk management role.
• Excellent knowledge of MiFID II, MAR.
• Ability to work well under pressure and manage multiple projects.

Responsabilidades

• Interpreting and analysing regulatory texts for compliance.
• Preparing and delivering compliance training for staff.
• Identifying and assessing compliance risks.

Conocimientos

Compliance risk management

Knowledge of MiFID II

Regulatory gap analysis

Policy creation and implementation

Training and supervision of staff

Educación

Degree in business, finance, or law

Professional certificate in compliance

Descripción del empleo

Regulatory Compliance Manager (Wealth and Trading) Regulatory Compliance Manager (Wealth and Trading)

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Business Sourcer @Revolut | Risk & Compliance | Master of Engineering

About Revolut

People deserve more from their money. More visibility, more control, and more freedom. Since 2015, Revolut has been on a mission to deliver just that. Our powerhouse of products — including spending, saving, investing, exchanging, travelling, and more — help our 60+ million customers get more from their money every day.

As we continue our lightning-fast growth, 2 things are essential to our success : our people and our culture. In recognition of our outstanding employee experience, we've been certified as a Great Place to Work. So far, we have 10,000+ people working around the world, from our offices and remotely, to help us achieve our mission. And we're looking for more brilliant people. People who love building great products, redefining success, and turning the complexity of a chaotic world into the simplicity of a beautiful solution.

About the role

Compliance is a key team that ensures Revolut’s products and processes meet the regulatory requirements and translate this into the best customer outcomes. They’ve got an outstanding ability to find solutions and carry out testing in a purely digital environment. Those data-driven experts know that better people and machines are the most effective way of managing conduct risk.

With our investment capabilities expanding, so is our Compliance team. We're looking for a Regulatory Compliance Manager to lead the implementation of our Private Banking regulatory framework.

What you'll be doing

• Interpreting and analysing regulatory texts for a MiFID II investment firm to determine practical business implications and ensure alignment with Revolut's model
• Collaborating with first-line product owners to define and implement an advisory framework for high-net-worth Individuals that's compliant with European regulatory requirements
• Preparing and delivering compliance trainings for Private Bankers, ensuring fulfilment of knowledge and competence requirements
• Drafting and updating policies and procedures, and providing compliance advisory to Private Bankers on their practical challenges
• Drafting and reviewing client-facing documentation and reports, as well as reviewing customer and marketing communications
• Supporting in the resolution of high-complexity customer complaints related to investment services
• Identifying and assessing compliance risks to design effective controls for advisory services, monitoring related activities, and reporting on how to mitigate those risks
• Supporting in the investigations and remediation of materialised risks, as well as addressing any assurance and audit findings
• Continuously executing and reviewing the Compliance Monitoring Plan for optimisation
• Working with local and global Regulatory Compliance Managers and other relevant teams to ensure that local compliance and risk management frameworks and processes are aligned with global ones
• Responding to day-to-day queries or inspections from regulatory bodies

What you'll need

• 2+ years of experience in a compliance risk management role in an investment firm, consultancy, or regulator
• Excellent knowledge of MiFID II, MAR, and other related regulations
• An in-depth understanding of the regulatory requirements applicable to an investment firm, especially to financial advisors
• Knowledge of how to conduct regulatory gap analysis
• Experience in policy creation and implementation
• Expertise in compliance risk management with experience assessing and defining controls, overseeing monitoring activities, and reporting
• Experience ensuring compliance of advised investment services, including advisory, training, and supervision of front staff to safeguard investors and prevent market abuse
• The ability to work well under pressure, manage multiple projects at once, and meet tight deadlines
• A willingness and passion to constantly develop and improve your knowledge / skills

Nice to have

• A professional certificate / diploma in compliance, and / or a willingness to take exams in the future
• A degree in business, finance, or law

Compensation range

• Other locations : Compensation will be discussed during the interview process
• Final compensation will be determined based on the candidate's qualifications, skills, and previous experience

Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Finance
• Industries Investment Banking and Banking

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