Compliance Officer

We are expanding our business at a rapid pace and have an AI vision and strategy that needs rapid execution. We’re looking for sharp, energetic and detail-oriented people passionate about implementing AI RegTech solutions that transform the status quo. This is a key role with ownership of quality AI product development and scaling our SaaS platform to include many more AI products.

Who We Are:

AQMetrics is a leading provider of regulatory risk software to global financial institutions. Our SaaS platform is award-winning, and our range of products make regulatory risk management simple, secure, and globally compliant.

What We Value:

People First

Putting people first is at the core of everything we do. It compels us to make decisions based on what is best for our people — employees, partners, and customers.

Customer Delight

We are customer focused. We strive to provide the best in class, to drive great customer experience through teamwork and high performance.

Integrity

We are committed to professional integrity. We conduct our business to the highest standards with skill, diligence and responsibility. Professional trust, honesty and compliance are at the core of our culture.

Innovation

We value ideas and encourage innovation every day.

What you will do:

• Provide advice to AQMetrics business, technical, customer success operations and other stakeholders with the interpretation of MiFIR transaction reporting and other relevant regulatory requirements
• Review and challenge AQMetrics implementation of MiFIR transaction reporting and other regulatory requirements, including the control framework
• Collaborate with AQMetrics technical operations and customer success teams to identify areas of Compliance risk and inefficient and ineffective controls
• Assess any updates to the existing DRSP MiFIR transaction reporting regulations and other relevant regulations, including the interpretation and communication of changes, to ensure effective implementation
• Review and maintain the Compliance Manual and the Monitoring Plan
• Conduct Compliance activities as set out in the Manual and Monitoring Plan (Compliance Risk Assessments, execution of Compliance Monitoring Plan, Complaints handling, maintenance of Compliance controls matrix, management of policies database, etc.)
• Execute the annual Compliance Plan for the Company in line with the standard methodology and the regulatory requirements (e.g. DRSP MiFIR regulations, DORA, GDPR and other company obligations)
• Identify and perform timely escalation of any Compliance issues arising during compliance-related activities performed
• Support in the preparation of reports and updates on the status of the annual Compliance Plan and all the other relevant items analysed for the Board of Directors
• Ensure timely and accurate completion of regulatory reporting to ESMA and EU NCAs
• Participate and contribute to the review of internal policies and procedures and provide compliance advice as required to the business
• To develop and deliver Compliance training
• Ad hoc projects as the need arises
  

• A relevant 3rd Level Degree preferably with legal content
• A formal qualification in Compliance
• At least 3-6 years experience in a compliance or internal audit environment in financial services, within a technical environment.
• Data-driven approach, with the ability to make rational, evidence-based decisions whilst knowing when to escalate, as necessary
• Solution-driven perspective, with analysis skills and determination to find answers to complex issues
• Excellent written and verbal communication with an ability to articulate regulatory and complex compliance issues across a varied group of stakeholders
• Organised individual who can self-manage multiple priorities, routine work and urgent issues as they arise. The ideal candidate is focused on resolving issues in a proactive way and in a timely way
• Display knowledge & authority in dealings with all parties and maintain priority of achieving goals.
• Display attention to detail in all aspects of work and relationships.
• The ability to establish themself as a reliable point of contact for internal and external parties
• Creating and maintaining relationships both internally and externally
• Excellent technical skills

• Opportunity to be part of something special, AQMetrics is growing and we want you to be part of our journey
• People-centric culture
• Competitive salary
• Upskilling opportunities
• Employee Assistance Programme
• Pension scheme
• Healthcare for employees and their families
• Flexible working
• Bike to Work scheme
• Active social club with events throughout the year

What our Interview Process is Like:

Step 1- After you apply, our HR Manager may reach out to you for an introductory call

Step 2- If your background is a match for the role, you may be required to complete a technical assessment (role depended) and/or phone interview with 1-2 people

Step 3- If you continue through the process, you may be asked to come onsite to interview

AQMetrics is an equal-opportunity employer. We are committed to an inclusive and diverse AQMetrics.