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Compliance Officer

  • Location: new york, NY
  • Job Type: Direct Placement
  • Ref No: 19-04698
  • Date: July 31, 2019
  • Job title:

 

 

Darina Naumova

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Job Description - Compliance Officer

Compliance Officer (US)



New York, United States of America



ABOUT THE ROLE

Regulatory Compliance is a key team that ensures this company’s products and processes meet the wording and spirit of regulatory requirements, then translate this into good customer outcomes. Regulatory Compliance also facilitates open and transparent relationships with our regulators.



The Regulatory Compliance team brings this company’s commitment to improving all aspects of finance to risk management. We are far more data-led than similar functions within other companies; our team has both a strong understanding of regulatory requirements and also the ability to find solutions and carry out testing in a purely digital environment.



Join a team that knows that better people and machines are the most effective way of managing conduct risk.



What you’ll be doing:

  • Assess and advise Revolut employees on a broad range of Client broker-dealer matters, including anti-money laundering, sanctions, fraud, data privacy/cyber-security, and other regulatory inquiries.
  • Develop and implement policies and procedures to mitigate regulatory risk.
  • Review of correspondence and marketing materials, including email and customer complaints.
  • Assist in executing training and communication plans to ensure consistent application of compliance policies.
  • Assist with Client 3110 and Client 3120.



WHAT YOU’LL NEED

  • 3+ years of Client broker-dealer experience.
  • Must have Client Series 7, 24 and 63 licenses.
  • Able to work under pressure, manage multiple projects at once, and meet tight deadlines.
  • Experience with policy creation and implementation on a procedural level.
  • Excellent academic credentials.
  • Strong understanding of the interplay between legal and business risk
  • Able to communicate positively, effectively, and efficiently with members of various internal teams, outside counsel, and regulators.
  • A multi-tasker with close attention to detail.
  • Able to demonstrate sound judgment



WHAT WE ARE LOOKING FOR

From employee 1 to employee 1000, you will be slotting into a global team that shares a number of traits.

You can work autonomously and take ownership. We thrive with the space and responsibility to solve problems.

You operate best without lots of bureaucracy. We don’t hide behind fancy job titles or clunky processes ‘because that’s how things are done’.

You approach work in a logical way. We are not afraid to make mistakes, but we use data and logic to backup decisions and improve understanding.

And you share our mission to improve people’s relationship with their money.



The benefits

” Competitive salary

” Biannual equity bonuses

” Life insurance

” Private medical care

” Don’t panic about cooking: get free dinners




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