Compliance Officer - Policy and Regulatory

Our client is a Financial Specialist, providing foreign exchange solutions for global corporations, funds and individuals. Seeking a Compliance Speciali st to provide QA strategy and Execution , together with Regulatory Reporting and Compliance . Quality Assurance Implement QA strategy aligned with regulatory frameworks, business objectives, and industry best practice. Drive continuous improvement through reviews, root cause analysis, and feedback loops across operational processes. Enhance automation and testing capabilities to improve QA coverage and efficiency. Regulatory Compliance & Reporting Ensure accurate and timely regulatory reporting, including transaction monitoring, KYC, AML, and fraud prevention. Design and implement automation for regulatory reporting to reduce manual errors and improve scalability. Provide structured updates to the Board and Risk Committee, highlighting QA performance, emerging risks, and compliance trends. Regulatory Reporting Coordination Collate and validate data required for regulatory submissions across the group, including to the FCA (UK) , DFSA (Dubai) , and FINTRAC (Canada) . Maintain a calendar of regulatory deadlines and ensure timely submissions in line with jurisdictional requirements. Risk Governance Collaborate with the Risk function to embed risk assessments into QA processes. Conduct horizon scanning to anticipate regulatory changes and proactively adapt QA frameworks. Monitor and analyse KPIs related to customer experience, fraud detection, and operational efficiency. KYC Recertification Management ~ Oversee the recertification process for KYC across the group, ensuring timely and compliant updates to customer records. Act as a liaison between Compliance, Risk, Operations, and Technology teams to ensure QA insights are actioned.