Summary

Copper is looking for a skilled and collaborative Regulatory Compliance Director to join our growing digital assets infrastructure business, the role holder will also act as a leading Regulatory expert, supporting and advising 1st and 2nd line teams in the UK and Internationally. 

As the Compliance Director for Copper you will be responsible for overseeing and managing key aspects of regulatory compliance. You will work closely with senior management to develop and implement compliance strategies, policies, and procedures. In addition, you will act as the Service Ops (Compliance) owner, supporting all Copper operational entities who have outsourced services to Group.

1. Compliance Oversight: Provide local leadership to the UK Compliance team ensuring that all activities of the organisation comply with applicable laws, regulations, and industry standards.
2. Policy Development: Oversee Horizon Scanning to effectively develop, review, and update compliance policies and procedures to reflect changes in regulations and industry best practices.
3. Market Abuse: Build out and oversee the group wide process for managing Market Abuse and Insider risk.
4. Shared Service Oversight: Oversee adherence of outsourced (to Copper Technologies UK) compliance systems and controls, track KPI/KRIs and escalated no-adherence to SLA timelines.
5. Dashboards: Maintain SharePoint Dashboards for tracking/approving Conflicts of Interest, Gifts & Entertainment, Outside Business Interests, Marketing and Financial Promotions
6. Risk Assessment: Conduct risk assessments and monitor compliance risks, implementing measures to mitigate potential issues.
7. Training and Education: Coordinate and conduct compliance training programs for employees to ensure awareness and understanding of compliance requirements.
8. Management Information: Support the CCO in the preparation of weekly/monthly MI reporting and prepare materials for applicable compliance forums and committees.
9. Audits and Examinations: Support MLRO’s who outsource services to Copper Technologies with regulatory audits and examinations, liaising with local MLRO’s and CEO’s as needed.
10. Compliance Monitoring: Establish and maintain an effective compliance monitoring program to track and report on compliance activities.
11. Advisory Role: Provide compliance advice and guidance to the business, in particular those in client facing roles.
12. Business & Product: Lead compliance advisor/approver for new product approvals and product/service reviews including Crypto Asset Reviews.

Your experience, skills and knowledge

Essential

1. Proven experience in a senior compliance role within the financial services industry with broad experience of trade surveillance and Market Conduct rules.
2. Knowledge of crypto, derivates, buy/sell side, funds, trading, technology, including product suite, services, systems, and key risks. 
3. Strong understanding of UK and EU (including Swiss) regulatory requirements.
4. Knowledge of anti-money laundering (AML) regulations and practices.
5. High level of integrity and ethical standards.
6. Extensive prior professional working knowledge & experience gained from applicable financial services firm (or equivalent). Must be capable to work effectively within a fast-growth technology environment.

Desirable

1. Bachelor's degree in a relevant field; advanced degree preferred.
2. Professional certification in compliance (e.g., ICA Diploma or CAMS) is a plus.
3. Accomplished in negotiating, advising, and reviewing a broad range of compliance, risk and control matters.
4. Ability to interpret, understand and advise all levels of seniority in the business of an appropriate course of action on a broad range of legal, compliance and regulatory provisions. 
5. Experience with prime brokerage, collateral management, stock borrow lending is preferred.
6. Understanding of US and UAE regulatory frameworks an advantage

Skills

• Cryptocurrency
• Negotiations Skills
• Risk Analysis