Compliance Senior Manager, Archax
More information about location
Digital securities exchange, broker and custodian
Be an early applicant
Digital securities exchange, broker and custodian
21-100 employees
Be an early applicant
More information about location
21-100 employees
Company mission
To kickstart the digital securities market in the UK and beyond.
Role
Who you are
- At least 5-7 years relevant experience, preferably gained in financial services or regulatory environment
- Knowledge of FCA Regulations and JMLSG Guidance
- Energetic personality with the drive to effect change and develop relationships across all levels of the Company
- Strong written and verbal communication skills
- Strong organisational skills and following up on agenda items
- Strong analytical skills including problem solving and solution-orientated thinking
- Able to use initiative, work unsupervised and comfortable taking responsibility
- Degree or relevant industry qualifications – desirable
What the job involves
- Archax is an FCA-regulated Multi-lateral Trading Facility (MTF) operating a trading and primary platform for professional and institutional clients. Our vision is to develop a truly digital capital market ecosystem that connects traditional market infrastructure with blockchain and DLT technologies
- Serve as the primary point of contact for regulatory questions across the business
- Advise senior management on key regulatory issues, feeding into the Executive Committee’s (ExCo) strategic decision-making with insights on the global and domestic regulatory landscape
- Lead engagement with the FCA and other regulatory authorities, ensuring effective communication and compliance
- Oversee the firm’s adherence to regulatory frameworks, particularly with regard to the functioning of the Multilateral Trading Facility (MTF), and ensure a compliance-driven culture throughout the organisation
- Interpret and provide guidance on emerging regulatory issues and trends, ensuring that Archax remains compliant with both existing and upcoming regulations
- Support international projects, manage regulatory applications, and engage with foreign regulators as necessary to support global expansion
- Continuously monitor and assess regulatory developments that impact the firm’s operations
- Support the Financial Crime Team for regulatory requirements and implementation of AML/KYC systems and controls
- Lead and manage the Financial Promotions Team, including overseeing team performance and development
- Oversee regulatory interactions with the FCA specific to financial promotions, ensuring clear communication and compliance
- Ensure the smooth operation of the s.21 approval service, focusing on client satisfaction and regulatory adherence
- Monitor and stay up-to-date with all regulatory obligations related to the s.21 business, ensuring ongoing compliance
- Collaborate with cross-functional teams to define the scope, objectives, and deliverables for special projects
- Drive project success by ensuring timely delivery within scope and budget, while fostering innovation and enhancing Archax's product offerings
- Continuously reassess and re-prioritise projects in collaboration with senior leadership to ensure alignment with the firm’s evolving goals
Salary benchmarks
Our take
Archax is a London-based global digital securities exchange, brokerage and custodian. The company builds an exchange designed for institutions and uses existing and proven exchange infrastructure integrated into the institutional trading workflow.
Archax notably stands out as the first firm to receive FCA authorisation as a digital securities exchange. Founded by a team of experts from traditional capital markets and backed by an experienced advisory board, Archax has a deep understanding of how to successfully bridge the blockchain landscape with the existing investment space.
The company is making strides by expanding its offerings and capabilities. With the launch of its first tokenised funds on the XDC Network, bringing major money market funds onto the blockchain to improve liquidity, speed up settlement, and cut operational costs. Alongside this, it has acquired King & Shaxson Capital Markets, further enhancing its brokerage, custody, and trading services, putting in itn a key player position in the growing world of regulated cryptocurrency platforms.
Steph
Company Specialist at Welcome to the Jungle
Insights
Company
Funding (last 2 of 5 rounds)
Nov 2022
$28.5m
SERIES A
Sep 2021
$4.5m
CONVERTIBLE
Total funding: $45.1m
Company benefits
- Company pension scheme
- Death in service benefit
- Comprehensive private healthcare scheme
- 25 days holiday, increasing by one day each year (up to 30 days)
- Opportunities to attend events and represent Archax and its vision
- Encouragement and support in your personal career development and industry knowledge
Company HQ
City of London, London, UK
Leadership
Andrew Flatt
(Founder & CTO)Previously served as CTO for Omni Partners, Systems Analyst for Infinity Capital Markets, Infrastructure Engineer for Foreign and Commonwealth Office, and Support Analyst for CACI.
Graham Rodford
(Founder & CEO)Previously acted as CCO and later as a Partner for Omni Partners, Head of Operations for HSBC, COO for Caliburn Capital Partners, Finance Officer for Leo Fund Managers, and as a Financial Accountant for Coutts Bank.
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