Head of Regulatory Compliance (Wealth & Trading)
London, UK
3d ago

About Revolut People deserve more from their money. More visibility, more control, more freedom. And since 2015, Revolut has been on a mission to deliver just that.

With an arsenal of awesome products that span spending, saving, travel, transfers, investing, exchanging and more, our super app has helped over 20 million customers get more from their money.

And we're not done yet.As we continue our lightning-fast growth, we believe that two things are essential to continuing our success : our people and our culture.

So far, we have more than 3000 people, based in 20 offices around the world, working on our mission. And we're looking for more.

We want brilliant people that love building great products, love redefining success, and love turning the complexity of a chaotic world into the simplicity of a beautiful solution.

About the role Revolut Wealth & Trading is the most exciting new business within Revolut Group. We’re building a global platform for trading to give Revolut customers unprecedented low-cost and friction-free access to the capital markets, starting with zero-commission stock trading with much more to follow.

We are looking for a Head of Regulatory Compliance to join our Wealth & Trading team in newly established trading company Revolut Securities UAB.

This role will have to ensure that people and processes comply with applicable laws and regulations by delivering requirements, framework and building a team. What you’ll be doing

  • Identify, assess, monitor and report on compliance risks in a retail MiFID firm.
  • Oversee and contribute to Compliance Framework ensuring the objectives, focus and scope of compliance monitoring remain valid.
  • Contribute to the building out of a Compliance Team, providing training as appropriate.
  • Ensure that the entity complies with all its regulatory obligations as well as internal policies and procedures.
  • Ensure that scheduled monitoring is undertaken with findings reported and followed up on and that the Compliance Monitoring Plan is continuously reviewed and prioritized.
  • Drive a strong compliance culture throughout the entity.
  • Provide accurate, consistent and timely advice to the business on an ongoing basis, including; responding to ad hoc queries;
  • contributing to projects; advising on new products and business proposals; contributing to policy documents.

  • Liaise with regulatory bodies on matters ranging from inspections to day to day queries.
  • Be responsible for the collation of regulatory reports as required.
  • Manage and develop one or more compliance professionals.
  • Monitor upstream regulatory developments and assess impact, participating in project groups to prepare for implementation and communicating preparedness and risks as appropriate. What you'll need
  • 5+ years working in a compliance team in / with investment firms with a thorough working knowledge of MiFID II, MAR and other related regulations and an in-depth understanding of the regulatory requirements applicable to an investment firm;
  • Extensive experience of managing and influencing decisions at the most senior levels;
  • Professional Certificate in Compliance / Professional Diploma in Compliance and / or a willingness to take exams in the future if required.
  • Degree in Business, Finance, Law or equivalent.#LI-AP3
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