Regulatory Compliance Specialist

eFinancialCareers; London; Hybrid; GBP 45,000 - 75,000; Full time

Job summary

An established industry player is seeking a compliance expert to support regulatory risk management in a hybrid working environment. This exciting 6-month contract role involves performing second-line-of-defense activities, ensuring effective regulatory frameworks, and delivering independent assessments. The ideal candidate will have a strong background in compliance within the financial services sector, particularly in wealth management, and will be adept at analyzing complex regulatory topics. If you are proactive and have a pragmatic approach to delivering compliant solutions, this opportunity could be the perfect fit for you.

Qualifications

• Experience in compliance within financial services, especially wealth management.
• Solid understanding of regulatory frameworks and business processes.

Responsibilities

• Support business in managing regulatory risk and perform second-line-of-defense activities.
• Deliver independent assessments and reports on regulatory performance.

Skills

Compliance in Financial Services

Business Process Analysis

Regulatory Knowledge (FCA Consumer Duty)

Project Delivery

Stakeholder Management

Regulatory Change Implementation

Emerging Regulatory Trends Analysis

Job description

6 month contract

Hybrid Working

Leading London Based Investment Bank

You Will:

• Support the business in managing regulatory risk.
• Perform second-line-of-defense activities in relation to consequential regulatory risks.
• Ensure frameworks are designed well and operating effectively.
• Deliver independent assessment and reports that shed light on our regulatory performance.
• Provide business management with input to controls, tools, training, frameworks and information and insights required to manage regulatory risk.

Your Skills:

• Experience in compliance within the financial services sector, preferably in a Wealth Manager.
• Solid understanding and experience of analysis of business processes.
• Regulatory knowledge as it relates to wealth management, in particular of FCA Consumer Duty, High Risk Investments (HRI), ESG and SDR, general UK MIFID II implementation, conduct risk and Financial Promotions requirements.
• Experience of working on the delivery of new projects and implementing regulatory change in a demanding environment.
• A pragmatic approach with the ability to deliver sound compliant solutions.
• Able to analyze and communicate complex regulatory topics effectively, manage stakeholders and challenge with an independent mindset.
• Able to proactively identify and evaluate emerging regulatory developments and trends to ensure impact on the business is fully assessed.

If you match the above criteria, please apply!