Senior Regulatory Compliance Specialist

ZipRecruiter; London; Hybrid; GBP 50,000 - 90,000; Full time

Job summary

An exciting opportunity awaits as a Senior Regulatory Compliance Officer in a leading global asset management firm. This role is pivotal in ensuring adherence to regulatory frameworks, including FCA rules and Market Abuse regulations. You will engage with internal and external stakeholders, providing expert compliance advice and managing regulatory reporting processes. The position offers a hybrid working model, a competitive salary, and significant opportunities for professional development within a multinational organisation. If you're ready to advance your career and make a meaningful impact, this role is perfect for you.

Benefits

Strong pension plan

Excellent work-life balance

Tuition reimbursement

Career progression opportunities

Qualifications

• 5+ years in financial services compliance, especially in asset management.
• Strong knowledge of FCA rules and Market Abuse regulations.

Responsibilities

• Ensure compliance with FCA rules and regulations.
• Provide compliance advice to internal teams and stakeholders.
• Develop and manage regulatory reporting processes.

Skills

Regulatory Compliance

Advisory Expertise

Regulatory Knowledge

Communication

Attention to Detail

Education

Relevant compliance or financial services qualifications

Job description

Job Description

Senior Regulatory Compliance Officer

Location: The City of London (Hybrid: 3 days in office, 2 days WFH)
Industry: Asset Management / Investment Management
Salary: Competitive (with a comprehensive benefits package)

About the Role:

An exciting opportunity has arisen for an experienced Senior Regulatory Compliance Officer to join a leading global asset management company based in the City of London. As part of the compliance team, you will play a pivotal role in ensuring that the firm adheres to all relevant regulatory frameworks, including FCA rules and Market Abuse regulations, while interacting with both internal and external stakeholders. This is a fantastic opportunity to advance your career within a multinational organisation, reporting directly to the Deputy Head of Compliance.

Key Responsibilities:

1. Regulatory Compliance: Ensure that the company complies with all relevant regulatory requirements, including FCA rules, guidance, and SMCR regulations.
2. Advisory Role: Provide expert compliance advice to internal teams on matters related to asset management, regulatory requirements, and operational procedures.
3. Stakeholder Engagement: Liaise with key internal and external stakeholders to ensure compliance with applicable regulatory standards and assist with any regulatory reporting or investigations.
4. Regulatory Reporting: Develop and manage regulatory reporting processes in line with FCA guidelines and industry standards.
5. Policy and Procedure Review: Maintain a strong understanding of internal compliance policies and procedures, ensuring they align with external regulatory developments.
6. Risk Management: Assist in identifying, assessing, and mitigating compliance risks across the organisation.

Skills & Qualifications:

1. Experience: Minimum of 5 years' experience in financial services compliance, specifically within the asset management sector.
2. Advisory Expertise: Proven experience in providing compliance advisory services within the asset management sector, ideally in multinational organisations.
3. Regulatory Knowledge: Strong knowledge of FCA rules and guidance, Market Abuse regulations, and the Senior Managers and Certification Regime (SMCR).
4. Communication: Excellent interpersonal and communication skills, with the ability to engage with stakeholders at all levels.
5. Attention to Detail: Strong analytical and organisational skills, with the ability to manage complex compliance matters effectively.
6. Qualifications: Relevant compliance or financial services qualifications would be a plus.

What’s On Offer:

1. Competitive Salary: A competitive salary package based on experience.
2. Hybrid Working: Flexibility to work from home for up to 2 days a week.
3. Benefits: A strong pension plan, excellent work-life balance, and tuition reimbursement to support your career development.
4. Career Progression: Opportunity to grow within a global organisation with significant opportunities for professional development and career advancement.

How to Apply:

Please submit your CV to [e-mail]