Compliance Regulatory Officer Compliance Regulatory Officer …

Tilney Smith and Williamson
in London, United Kingdom
Permanent, Full time
Last application, 21 Oct 21
Tilney Smith and Williamson
in London, United Kingdom
Permanent, Full time
Last application, 21 Oct 21
If you're looking to join an organisation that will give you the right opportunities and experience to develop your career, join Tilney Smith and Williamson.

Key responsibilities:

  • Conduct the identification, analysis, monitoring & evaluation of daily UK and Irish (EU) FS regulatory and PS pronouncements which impact on the activities of our business, producing management information and written communications for Working Groups, Committees & Boards.
  • Support the Head of Regulatory Developments with the delivery of regulatory change led projects by:
    • developing and maintaining project plans.
    • serving on relevant interest groups, working parties and committees.
    • preparing packs for Regulatory Developments led meetings and taking minutes where required.
  • Assist with meeting the function's BAU commitments (e.g. meeting preparations, stakeholder queries, etc).
  • Assist in maintaining the procedures relating to regulatory developments tracking, including maintenance of the inventory of primary and secondary sources used for tracking. The role also requires the individual to participate in professional body forums (some of which are occasionally held outside contracted working hours).

Candidate Profile

Key Competencies:

  • Analytical Thinking: Analysing and breaking issues down to resolve them, making systematic and rational judgement based on relevant information and experience; Ability to translate complex concepts into high quality communications.
  • Judgement: Make timely decisions that demonstrate considered judgement; Works calmly under pressure to tight deadlines whilst maintaining attention to detail.
  • Planning & Organising: Planning and organising in advance to meet deadlines whilst also managing ad hoc issues as they arise (strong in case management).
  • Proactive: Ability to work independently as well as being a team player; A fast learner with curiosity; Results-driven 'can-do' approach; Client, service and solution minded.
  • Communication / Influencing: Exhibits strong interpersonal skills, having the ability to influence others and coordinate activities across a group of people, establishing who key decision makers are, their priorities and their approaches; At ease to liaise at all hierarchical levels.


  • Educated to degree level, 2:1 classification or above.
  • Professional qualification minimum level 3 which includes an FS Regulatory unit (e.g. CISI IOC).

Skills, Knowledge & Experience:

  • Familiar with the Investment Management, Financial Planning and Fund Administration sectors in which we operate, their respective regulatory frameworks (across the UK and Ireland) and their current & emerging regulatory issues.
  • Ability to engage stakeholders in driving proportionate and accurate implementation of regulatory change.
  • Risk aware with an ability to prioritise information.
  • Displays a proactive approach and willingness to learn.
  • Strong communication (reading, verbal and writing) and inter-personal skills.
  • Solid level of proficiency on key MS Office packages (Excel, Word, Powerpoint).
  • Prepared to work within a small professional team.

Tilney Smith & Williamson is the UK's leading integrated wealth management and professional services group, created by the merger of Tilney and Smith & Williamson on 1 September 2020.

With £54.8 billion of assets under management (as of 30 June 2021), it ranks as the third largest UK wealth manager measured by revenues and the eighth largest professional services firm ranked by fee income. The Group currently operates through three principal brands: Tilney, Smith & Williamson, and online investment service Bestinvest. It has a network of 28 offices across the UK, as well as the Republic of Ireland and the Channel Islands. Through its operating companies, the Group offers an extensive range of financial and professional services to individuals, family trusts, professional intermediaries, charities, and businesses.

As our colleague here at Tilney, Smith & Williamson you will have access to benefits that include:

  • Competitive salary
  • life assurance
  • Pension contribution
  • Interest free season ticket loan
  • Cycle to work scheme.

Tilney Smith & Williamson's chosen purpose to "place the power of good advice into more hands" succinctly encapsulates the group's central mission of supporting both individuals and businesses to achieve their goals. In delivering its purpose, Tilney Smith & Williamson have set out three core values that it is committed to embedding in the culture of the business:

  • Personal - we treat you as an individual: We are a people business at heart and strive to deliver a friendly, inclusive, and personalised service to all of our clients, large and small.
  • Partnership - we go further together: We develop relationships that stand the test of time, spanning multiple generations. We partner across the full breadth of our expertise to create value for our clients, our company and society at large.
  • Performance - we strive for more: We are ambitious for our clients and for ourselves, so we aim to be a forward-thinking and innovative business that leads the way in the industry.

The Tilney Smith & Williamson Group recognises the benefits of a diverse workforce and is committed to treating all colleagues with dignity and respect regardless of race, gender, disability, age, sexual orientation, religion, or belief. At Tilney Smith & Williamson we are committed to equal opportunities in all aspects of our work.

Tilney Smith and Williamson logo
More Jobs Like This
See more jobs