Compliance and Regulatory Specialist

Foresters Financial; Bromley; Hybrid; GBP 40,000 - 60,000; Full time

Job summary

A leading company in the financial sector is seeking a Compliance and Regulatory Specialist in Bromley. The role involves ensuring compliance with financial regulations and providing guidance on regulatory matters, including risk management practices. With flexible work options post-training, this opportunity encourages a strong regulatory focus and relationship-building across teams.

Benefits

Company Bonus dependent on performance

Life Assurance (4x pensionable earnings)

Contributory Pension scheme (up to 10% company contribution)

Qualifications

• Strong understanding of regulatory practices impacting customer outcomes.
• Ability to engage with stakeholders at all business levels.
• Commercially sensitive with a risk-based decision-making approach.

Responsibilities

• Providing regulatory guidance on products, policies, and processes.
• Acting as compliance SME on projects and governance committees.
• Reviewing financial promotions and escalations regarding compliance.

Skills

Understanding of UK financial services regulation

Regulatory and conduct risk management

Interpersonal skills

Planning and report writing

Communication skills

Problem-solving

Job description

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Compliance and Regulatory Specialist, Bromley

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Client:

Location:

Bromley, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Reference:

a70e18f012b6

Job Views:

4

Posted:

29.06.2025

Expiry Date:

13.08.2025

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Job Description:

You will be operating as part of the second line of defense by providing regulatory technical and compliance oversight and practical guidance to the business. You will play a key role in the delivery of change to meet new and upcoming regulations and the compliance strategic plan.

Your day to day will include:

• Providing expert and practical regulatory guidance, to the business in relation to its products, systems, policies, processes and controls.
• Providing pragmatic guidance on regulatory matters.
• Acting as the compliance SME on projects, governance committees and meetings.
• Analyzing and interpreting conduct risk and compliance MI sharing insights.
• Providing support to business areas on how to appropriately resolve any identified compliance issues, including root cause analysis and remediation.
• Maintaining a deep understanding of UK financial services regulation, and upcoming regulatory change, producing summaries and a Compliance Bulletin for all employees
• Being a key member of project teams providing technical compliance input.
• Engaging in advisory work to provide guidance to staff on how to comply with relevant requirements in the context of issues raised during normal business activities.
• Reviewing and approving all financial promotions, marketing material and the website, escalating concerns to the Head of Compliance.
• Supporting the development and review of key compliance policies, processes and controls, working with Risk and Internal Audit.
• Assisting in compliance reporting for the Executive, Board and IoF.

Working hours are 35 hours a week Monday to Friday. Start times can vary from 8am to 9.30am. After a successful training period there is flexibility to work from home up to 2/3 days a week.

What we require

• Good understanding of UK financial services regulation, how it applies to Foresters and the impact of the requirements.
• A strong understanding of regulatory and conduct risk management practices in financial services, and what it means to deliver good customer outcomes.
• Commercially sensitive and pragmatic, with the ability to take a risk-based approach on decisions that impact the business.
• Confident in voicing an opinion and escalate to the Head of Compliance if uncomfortable with the decisions made by the business.
• Excellent interpersonal, influencing and communication skills, including the ability to explain requirements in straightforward/ practical terms.
• Solution and delivery focused, with high energy and drive, and ability to deliver through others.
• Must be able to build strong relationships with key stakeholders across the business at all levels.
• Excellent planning and report writing skills.

What we offer you

• Company Bonus dependent on your performance and company performance
• Life Assurance (4x pensionable earnings)
• Contributory Pension scheme (company contribute up to 10%)