Summary

The Compliance team is a collaborative and high energy group of driven and intellectually curious professionals. We take our work but not ourselves incredibly seriously, tackling novel issues and supporting the business with focus, precision, and relentless good humour. We know and support each other deeply as professionals and humans. We proudly hold a range of passports and qualifications and speak as many languages as we have team members - diversity on all levels is deeply valued.

Key Responsibilities of the role

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

As a committed and experienced Regulatory Compliance Manager, you will align and operationalise local policies and procedures as required in support of the wider systems, controls and responsibilities of the Regulatory Compliance Director.

1. Compliance Oversight: Support local leadership in the UK Compliance team ensuring that all activities of the organisation comply with applicable laws, regulations, and industry standards.
2. Policy Development: Conduct Horizon Scanning to ensure policies and procedures reflect changes in regulations and industry best practices, develop new policies and procedures to meet new regulations as necessary.
3. Market Abuse: Manage systems and controls to meet regulatory obligations relating to Market Abuse and Insider risk.
4. Shared Service Oversight: Support the teams who are responsible for outsourced compliance systems and controls to adhere to monthly SLA timelines.
5. Dashboards: Support the Regulatory Compliance Director in maintaining SharePoint Dashboards for tracking/approving Conflicts of Interest, Gifts & Entertainment, Outside Business Interests, Marketing and Financial Promotions
6. Risk Assessment: Co-ordinate and collate data to support the annual AML/BWRA risk assessments and monitor compliance risks, implementing measures to mitigate potential issues.
7. Training and Education: Provide compliance training in support of the Learning and Development Programme to ensure awareness and understanding of compliance requirements.
8. Management Information: Support the Regulatory Compliance Director in the preparation of weekly/monthly and quarterly MI reporting and prepare materials for applicable compliance forums and committees.
9. Audits and Examinations: Support the Compliance Management Team with data collection and coordination of regulatory audits and examinations, liaising with functional leads and local MLRO’s as needed.
10. Compliance Monitoring: Work with compliance monitoring team to ensure the effective tracking and reporting of compliance activities.
11. Advisory Role: Provide compliance advice and guidance to the business, in particular those in client facing roles.
12. Business & Product: Support the Regulatory Compliance Director as compliance advisor for new product approvals and product/service reviews

Your experience, skills and knowledge

Essential

1. Knowledge of regulatory frameworks with particular expertise in Market Conduct, Financial Promotions and Marketing.
2. Sound understanding of KYC/AML, sanctions & embargoes screening, payments, transaction / trade monitoring, general compliance aspects and outsourcing requirements.
3. Knowledge of crypto, custody, derivates, buy/sell side, funds, trading, technology, including product suite, services, systems, and key risks. 
4. Proven experience in the provision of compliance advisory and/or management in digital asset / crypto business. Additional experience in traditional banking, finance or similar business is an advantage. 

Desirable 

1. Bachelor's degree in a relevant field.
2. Professional certification in compliance (e.g., ICA Diploma or CAMS) is a plus.
3. Commercial awareness with the ability to make decisions that identify and consider risks specific to a growing business. 
4. Experience with prime brokerage, collateral management, stock borrow lending is preferred. 
5. Ability to make, support and defend difficult and complex regulatory and/or compliance decisions in a fast-paced environment.
6. Extensive prior professional compliance working knowledge & experience gained from applicable financial services firm (or equivalent). Must be capable to work effectively within a fast-growth technology environment.

The benefits offered

In return for everything you can bring to Copper, we can offer you an exciting, challenging role in a fast-growing and dynamic business, with career opportunities and welcoming working environment.

1. Paid Time Off - A minimum of 35 days of paid time off per year, inclusive of annual leave and public holidays. Employees also receive one additional day of annual leave for each year of service.
2. Comprehensive Medical Insurance - Inclusive of dental, optical, audiology, and mental health coverage, with medical history disregarded
3. Life Insurance
4. Enhanced Pension Contributions - Includes an enhanced employer matching contribution
5. 24/7 Employee Assistance Programme (EAP)

If you think you have everything we're looking for and more, then we'd love you to apply for the opportunity.

Skills

• Compliance Knowledge
• Financial Analysis