Compliance Officer overseeing compliance and risk management within WSFS Bank's Wealth Division. Providing independent oversight and guidance on regulatory compliance and risk assessment.
About the role
- Regulatory Reporting & Client Money Officer responsible for regulatory compliance and safeguarding client funds at Sokin. Collaborating with Finance, Compliance, and Operations to ensure integrity and accuracy in reporting.
Responsibilities
- Own the preparation, validation, and submission of all regulatory returns across relevant jurisdictions
- Maintain and manage the regulatory reporting calendar, ensuring all submissions are completed accurately and on time
- Validate data used in regulatory submissions through reconciliation of internal and external systems
- Maintain clear documentation, methodologies, and audit trails supporting all regulatory reporting processes
- Support regulatory reviews and respond to reporting enquiries from regulators and external auditors
- Monitor regulatory developments and implement changes impacting reporting requirements
- Ensure full compliance with safeguarding rules covering segregation, reconciliation, and record‑keeping
- Own and oversee daily safeguarding reconciliations, including internal, external, and client money calculations
- Monitor safeguarding accounts and structures to ensure customer funds remain appropriately protected at all times
- Investigate and resolve reconciliation breaks, ensuring timely escalation and effective remediation
- Maintain safeguarding policies, procedures, and associated controls
- Support safeguarding audits and regulatory reviews relating to client money compliance
- Support the monitoring of capital, liquidity, and prudential requirements
- Contribute to regulatory capital calculations and own funds assessments
- Assist with prudential reporting and financial regulatory submissions where required
- Act as a key liaison between Finance, Compliance, Operations, and external regulators on regulatory reporting and safeguarding matters
Requirements
- Experience in regulatory reporting, safeguarding, or prudential finance within a PSP, EMI, bank, or regulated fintech environment
- Strong understanding of client money / safeguarding regulations
- Knowledge of prudential regulatory frameworks, including capital and liquidity requirements
- Strong analytical and numerical skills, with experience working with financial and operational datasets
- Ability to interpret regulatory requirements and translate them into operational processes and controls
- High attention to detail with strong documentation and audit discipline
- Strong stakeholder management skills, with the ability to work effectively across Finance, Compliance, and Operations teams
- Candidates will need to have the right to work in the jurisdiction that they are looking to work in
Benefits
- Sokin is an equal opportunities employer committed to creating an inclusive work environment
- Agility and flexibility in working culture
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
No Education Requirement
Location requirements
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