Senior Regulatory Compliance Officer

ZipRecruiter; London; On-site; GBP 60,000 - 90,000; Full time

Job summary

A leading company in the financial services sector is seeking an experienced regulatory compliance professional to join their expanding UK operations. This role involves developing compliance policies, conducting audits, and ensuring adherence to international regulations, making it perfect for candidates with a strong financial background and global regulatory experience.

Qualifications

• 10+ years of experience in regulatory compliance, audit, or risk function.
• Financial Services background.
• European & Global Regulatory compliance experience.

Responsibilities

• Develop, update, and enforce compliance-related policies.
• Prepare and submit essential regulatory reports.
• Conduct regular audits and risk assessments.

Skills

Regulatory compliance

Risk management

Audit

Job description

Job Description

This is a new hire within the team as they're expanding their UK operations. You will be working closely with the senior leadership, building the regulatory framework and aiding in strategic decision making.

Responsibilities:

• Develop, update, and enforce compliance-related policies.
• Prepare and submit essential regulatory reports such as CRS, FATCA, MiFIR, and EMIR
• Conduct regular audits and risk assessments to identify and mitigate compliance gaps, particularly on export controls and artificial intelligence matters.
• Prepare and present reports on compliance activities, risks, and incidents to Senior Management.
• Stay ahead of regulatory changes at the international, EU, and levels.

Requirements:

• 10+ years of experience in regulatory compliance, audit, or risk function
• Financial Services Background
• European & Global Regulatory compliance experience

This is an exceptional role for a great organisation with a driven and ambitious team, feel free to apply to be considered for the role.

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