Regulatory Compliance Specialist Regulatory Compliance Specialist …

Financial Services
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
GBP60000 - GBP80000 per annum
Financial Services
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
GBP60000 - GBP80000 per annum
My client is an expanding global Financial Services firm, with offices in EMEA, US and Asia, looking to add more talent to their compliance function in London. The Regulatory Compliance Specialist will be an integral part of regulatory changes within the firm, and advising the business in regard to these regulations.

An international Financial Services firm with a growing London office looking to appoint a Regulatory Compliance Specialist to their Compliance team.


The Regulatory Compliance Specialist will:

  • Understand key applicable regulatory requirements
  • Keep abreast of regulatory developments and assist with the preparation of regulatory change reporting to keep management up-to-date on relevant legal and regulatory developments
  • Support Compliance Leads and business units in analyzing and implementing new or changing regulatory requirements and standards
  • Support provision of advice to assigned business units on regulatory compliance matters and provide technical guidance, support and tailored feedback on regulatory issues

  • Support provision of advice to assigned business units in the identification of regulatory compliance risks, assessing controls and reporting on effectiveness of controls to ensure compliance with applicable standards and internal policy requirements

  • Support the assigned business units departments in conducting risk based reviews of existing and emerging regulatory requirements and provide advice on how to address issues and control gaps

  • Support assigned business units to ensure that new business initiatives and amended processes comply with regulatory obligations

  • Collaborate with assigned business unit to develop the appropriate training materials designed to raise awareness of regulatory compliance risk and how it is mitigated

  • Maintain strong working relationships with business unit managers in order to ensure the timely delivery of quality information and increase the likelihood of favorable conditions for compliance activities

  • Responsible for fostering a culture of compliance within the organization in a manner consistent with company value

  • Effectively support the influencing of business decisions and the identification and escalation of issues

  • Support the effort to assess the effectiveness of current risk prevention and mitigation controls to ensure managers in the assigned business units are equipped with the education to identify and judge the severity of risks
  • Management and maintenance of the Compliance Inventory
  • Support the design and implementation of Compliance Monitoring reviews and assisting with the tracking of related remediation activities
  • Contribute to the establishment of key risks indicators (KRIs) and tracking and reporting methodologies as part of a standard system of measurement and reporting
  • Contribute to the development of recommendations for corrective action and issue tracking to ensure resolution efforts proceed timely and effectively
  • Contribute to the preparation of complex, time sensitive reporting and appropriately escalate issues to senior management


  • Bachelor's degree in finance/economics or law degree, or the equivalent combination of education and experience is required. Legal qualification an advantage
  • 5+ years of experience in a compliance/legal function
  • Proven Compliance Advisory support experience
  • Experience leading/contributing to the design and management compliance training programs
  • Experience in analyzing and implementing regulatory reform measures
  • Understanding of the need for and possession of the ability to uphold the highest standards of confidentiality
  • Articulate and diplomatic, with strong negotiation and influencing skills with the ability to display a range of influencing styles and stakeholder management skills
  • Excellent report writing and presentation skills
  • Superior interpersonal skills
  • Investigative and analytical thinking
  • Ability to work independently to creatively assess and identify gaps and present solutions
  • Ability to steer and influence a culture of compliance
  • Project management skills an advantage
  • Good knowledge of Microsoft Office packages, particularly Excel and Word

Job Offer

Comprehensive basic salary plus package