Regulatory Operations Executive
Regulatory Operations Executive
Globacap Technology
Remote
Job ID : 6646715132535250526f54586b5652424a513d3d
Job Description :
About us
We are a rapidly growing fintech, that is transforming private capital markets. With deep regulatory knowledge and cutting-edge technology, we have enabled frictionless asset creation and transferability. We are driving the digitisation of all assets.
Our technology is already being used by some of the largest institutions in the world, such as the Johannesburg Stock Exchange and Nomura/Instinet.
The Role
This Regulatory Operations Executive role is critical in driving client engagement and increasing client satisfaction to ensure our clients fully maximise the usage and benefits of our technology features.
The successful candidate will have responsibility for issuer and investor onboarding, register management, deal creation and management, planning and coordinating cross-functional effort to deliver regulatory operations activities for our clients. You will oversee Customer Due Diligence activities, identifying high-risk applications and escalating to the Compliance Officer where necessary
Remote working supported. UK based.
Your responsibilities:
- Manage client private placement projects from initial onboarding of investors, cap (shareholder register) tables, deal creation to post-deal
- Perform Issuer and Investor Due Diligence (KYC & KYB), ensure issuer, deal and investor compliance with established policies or procedures, identify high-risk applications and escalate to Compliance
- Perform product demos to educate clients and showcase platform functionality to solve client pain points and ensure a seamless client experience
- Obtain information and supporting documentation to complete Know Your Customer (KYC) and Know Your Business (KYB) due diligence, including working with our automated KYC provider to optimise pass rates
- Interact with new and existing customers to resolve their queries in a proactive, timely fashion across multiple channels
- Share customer insights with the relevant teams, in particular Product, to develop and improve our product
- Manage stakeholder relationships and ensure that all parties are kept informed
You
Our ideal candidate is a highly motivated and energetic AML review/compliance officer looking to join a thriving business and take the next step in their career.
You are highly experienced in regulatory compliance activities especially as they relate to risk management in capital markets and /or Financial Services, and bring:
Ability to detect, analyse, evaluate, and mitigate financial crime risks associated with onboarding- Experience of Know Your Customer (KYC) and Know Your Business (KYB) due diligence in a financial institution, with regulatory requirements (including money laundering regulation)
- Ability to work independently and take initiative to respond to changing situations and priorities with a high sense of ownership, urgency, and drive
- Interact with new and existing customers to resolve their queries in a proactive, timely fashion across multiple channels
- Strong experience of managing complex client relationships and managing multiple stakeholders
- Team spirit, creative thinking and collaborative problem solving
- Excellent IT skills Microsoft Office 365: Word, Excel, Outlook, PowerPoint, Teams, Google Docs, Confluence
Desirable skills and experience:
- Experience using tools such as Zendesk, Confluence and Salesforce
What we can offer you
- Share options in a rapidly growing fintech that is starting to scale
- Unlimited holidays (UK only)
- Flexible and remote working
- Health, vision, and dental insurance (UK only)
- Company pension (UK only)
Company Details :
Name : Globacap Technology
CEO : Myles Milston
Headquarter : London, United Kingdom
Revenue : Unknown / Non-Applicable
Size : 51 to 200 Employees
Type : Company - Private
Primary Industry : Investment & Asset Management
Sector Name : Finance
Year Founded : 2017
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Details
: Remote
: Today
