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Compliance - Regulatory Advisory Officer

Investigo London, United Kingdom
Posted 2 months ago Hybrid Job Permanent £55k - £75k
C
Posted by
Chris Roots
Senior Consultant - Compliance - Banking and Financial Services at Investigo
We are seeking an experienced Compliance Regulatory Advisory officer from a commodities or asset management background. Our client are looking for someone to join a growing team responsible for ensuring that their operations comply with all relevant laws, regulations, and industry standards. The role will provide expert guidance on regulatory matters, assess risks, and develop strategies to mitigate them effectively

Key Responsibilities:

  • Stay abreast of regulatory developments, industry trends, and best practices to ensure compliance with all applicable laws and regulations.
  • Provide timely and accurate advice to internal stakeholders on regulatory requirements and implications for the business.
  • Conduct thorough assessments of existing and proposed business activities to identify potential compliance issues and recommend appropriate actions.
  • Develop and implement policies, procedures, and controls to ensure compliance with regulatory requirements.
  • Collaborate with cross-functional teams to address compliance-related issues and implement solutions.
  • Assist in the preparation of regulatory reports and submissions as required.
  • Conduct training sessions to educate employees on compliance policies, procedures, and best practices.
  • Monitor and review internal processes and systems to identify areas for improvement and enhance efficiency and effectiveness.

Qualifications:

  • Experience of regulatory Compliance from an asset management or Commodities environment
  • In-depth knowledge of relevant regulatory requirements, including but not limited to [specify relevant regulations, such as GDPR, MiFID II, Dodd-Frank Act, etc.].
  • Strong analytical skills with the ability to assess complex regulatory issues and develop practical solutions.
  • Excellent communication and interpersonal skills, with the ability to interact effectively with stakeholders at all levels of the organization.
  • Proven ability to work independently, manage multiple priorities, and meet tight deadlines.
  • Attention to detail and a commitment to maintaining the highest standards of integrity and professionalism.
Job ID  Rootsregc
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