Regulatory Affairs jobs in United Kingdom

Blue Edge is seeking a Regulatory and Compliance Officer (Junior/Mid-Level) with sharp attention to detail and analytically capable to manage regulatory surveys.

This is a critical position that supports the firm’s regulatory obligations and ensures enterprise-wide compliance.

The person need to be meticulous, conscientious, compliant, orderly, methodical and detail oriented.

• 1. Compliance Framework:
  • Read and keep track of all newsletters and updates from MAS.
  • Develop, maintain, and update compliance policies and procedures in accordance with MAS and NFA guidelines and regulatory expectations.
  • Continuously review and enhance internal processes to ensure compliance, incorporating changes from regulatory developments and industry best practices.
• 2. Regulatory Liaison:
  • Serve as a key point of contact for MAS, NFA, auditors, and other external stakeholders.
  • Coordinate the management of regulatory inspections, audits, and reviews, and ensure timely resolution of any issues raised.
• 3. Monitoring and Reporting:
  • Ensure all firm and representative licenses and registrations are current and compliant with MAS and NFA requirements.
  • Maintain up-to-date records on employee personal trading, external directorships, and outside business activities.
  • Coordinate and submit approximately 40 regulatory surveys annually, including MAS, NFA, and internal reports. This requires cross-departmental coordination, data compilation, and the ability to interpret and validate numerical information.
• 4. AML/CFT Oversight:
  • Perform initial Know Your Client (KYC) and Anti-Money Laundering (AML) due-diligence assessments and periodic reviews on prospects and clients, to ensure full compliance with AML/CFT regulatory standards.
  • Organize and deliver AML training sessions and contribute to firm-wide risk assessments to strengthen controls.
• 5. Advisory and Legal Review:
  • Offer senior management with commercially sound guidance on compliance and regulatory risk matters.
  • Review contracts, offering documents, agreements and other documents to ensure alignment with the firm’s policies and regulatory obligations, and ensure that all such documents are duly executed and appropriately filed.

• Diploma or higher in Law, Risk Management, Banking & Finance, Business Administration, or a related field.
• Good understanding of MAS regulations and compliance practices, with hands-on experience interpreting and applying them.
• Proven ability to manage multiple deadlines, especially high-frequency regulatory surveys and reporting cycles.
• Strong numerical reasoning skills; ability to deduce insights from financial figures and data with precision.
• Critical and creative thinker with a structured, analytical mindset and a proactive approach to problem-solving.
• Excellent communication and interpersonal skills; able to collaborate across departments and with external stakeholders.