Regulatory Compliance Specialist

fs talent; London; On-site; GBP 50,000 - 60,000; Full time

Job summary

A leading recruitment firm is seeking a Regulatory Compliance Specialist for a major financial services client in London. The role involves managing compliance with various regulations, overseeing the SMCR programme, and ensuring adherence to consumer protection laws. The ideal candidate will possess strong knowledge of UK and EU financial regulations, and have significant experience in regulatory reporting and compliance management.

Qualifications

• Strong knowledge of MiFID, E-Money, EMIR regulations.
• Proficiency in handling regulatory queries.
• Experience managing financial promotions approval processes.

Responsibilities

• Manage the Senior Managers and Certification Regime (SMCR) programme.
• Oversee compliance with Consumer Duty obligations.
• Support regulatory reporting across multiple jurisdictions.

Skills

Knowledge of UK and EU financial regulations

Experience with regulatory reporting

Familiarity with SMCR

Experience in financial services compliance

Job description

This range is provided by fs talent. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

Direct message the job poster from fs talent

Risk, Compliance and Financial Crime Recruiter for the Financial Services

Role - Regulatory Compliance Specialist

Company - FX and Payments

Location - London

Regulatory Compliance & Oversight

• Manage the Senior Managers and Certification Regime (SMCR) programme.
• Oversee compliance with Consumer Duty obligations in line with regulatory guidelines.
• Support regulatory reporting requirements across multiple jurisdictions, including the UK, EU, Australia, and Canada.
• Assist in safeguarding oversight, risk event analysis, and breach reporting.
• Monitor regulatory changes across MiFID, E-Money, and EMIR, providing analysis and business guidance.
• Ensure compliance with conduct rules for E-Money and investment services.
• Maintain and enhance regulatory risk assessments at a group level.
• Support compliance with EMIR reporting obligations.

Policy Development & Implementation

• Assist in the development and implementation of policies to ensure adherence to MiFID and E-Money regulations.
• Support regulatory submissions and potential future licensing applications.
• Oversee the approval and monitoring process for financial promotions, ensuring regulatory compliance.

Skills & Experience Required

• Strong knowledge of UK and EU financial regulations, including MiFID, E-Money, EMIR, and FSMA conduct rules.
• Experience with regulatory reporting
• Familiarity with SMCR, Consumer Duty, and safeguarding requirements.
• Experience managing financial promotions approval processes.
• Proficiency in handling regulatory queries and complaints management.
• Previous experience in financial services compliance or regulatory advisory is essential.

Please follow the steps to apply if your experience matches the requirements.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Accounting/Auditing, Administrative, and Legal

• Industries

  Financial Services, Investment Management, and Investment Banking

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