as it applies to proprietary trading firms as well as proven experience dealing with regulatory agencies such as the FCA, ESMA, SEC etc. Strong knowledge of UK FSMA, EU MiFiD or similar regulatory tradfi and digital asset regimes. Expertise in responding to, handling and managing regulatory enquiries, document requests and commercial disputes, advising senior stakeholders on and mitigating regulatory and More ❯
monitoring tools (ITRS or similar) Proficiency in managing Kubernetes clusters, including deployment, scaling, storage, observability, and lifecycle management Understanding of financial regulations and reporting requirements in Europe such as MiFID II Person Profile The role will suit someone who relishes the prospect of supporting an expanding business and improving support functions Motivated self-starter who takes ownership of responsibilities, and More ❯
DSS Activities: Leading Ctrl Alt through the application process of Gate 2 to enable the firm to test tokenization structures within the Sandbox; FCA Authorisation: Leading Ctrl Alt's MiFID authorisation process by being the primary contact for the FCA and where required, outside counsel. You will be responsible for engaging relevant stakeholders through the FCA authorisation process, preparing the … the FCA are met. Manage other conduct and compliance risks. Requirements Must Haves 5 - 7 years working in a regulated firm in a senior Compliance role or MLRO role; MiFID experience is considered an advantage; Significant experience in all aspects of UK compliance standards, AML/CTF/FS including customer onboarding, KYC refresh, customer risk assessments, business wide risk More ❯
