Compliance Senior Associate, Archax
Financial Promotions
2+ days a week in office
Digital securities exchange, broker and custodian
Job no longer available
Digital securities exchange, broker and custodian
21-100 employees
Job no longer available
2+ days a week in office
21-100 employees
Company mission
To kickstart the digital securities market in the UK and beyond.
Role
Who you are
- At least 3 years relevant experience, preferably gained in a financial services or regulatory environment
- Financial Promotions experience skills, knowledge and expertise
- Knowledge of FCA COBS Regulations specific to financial promotions. AIFMD and UCITS, cross-border marketing knowledge desirable
- Energetic personality with the drive to effect change and develop relationships across all levels of the organisation
- Strong written and verbal communication skills
- Strong analytical skills including problem solving and solution-orientated thinking
- Able to use initiative, work unsupervised and comfortable taking responsibility
- Energetic personality with the drive to effect change and develop relationships across all levels of the business
- Degree or relevant industry qualifications - desirable
What the job involves
- Setting up and implementing Archax’s service to approve third-party financial promotions
- Supporting the FCA application process to obtain the relevant approver permissions, and
- Providing strategic input and expertise into the production of Archax’s proprietary marketing materials
- To be one of the primary Compliance points of contact for all technical queries and regulatory matters relating to marketing, distribution and financial promotions
- To help design and embed the firm’s third-party financial promotions approval service
- To provide advice, guidance and training to the business in relation to current and emerging regulations in respect of product distribution and marketing, including cross border activities
- To embed relevant workflow tools and working practices that enable more efficient reviews of both UK and global marketing materials
- To provide support, training and guidance to the business in regard to financial promotions
- To assist in the development of management information to track marketing approvals and assess the effectiveness of producing quality documentation
- To assist in the maintenance and revision of applicable policies and documents
- To assist the Compliance monitoring team with periodic compliance monitoring reviews relevant to production of marketing materials
- To assist the business with the preparation and compilation of regulatory reports and summaries to various committees of the Board and Senior Management, as required
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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