Financial Services Compliance Expert

1 week ago

Pune, Maharashtra, India beBeeRegulatory Full time
Job Overview:

We are seeking a skilled Regulatory Specialist to join our team. The successful candidate will be responsible for monitoring and interpreting changes in UK regulatory requirements, particularly those issued by the FCA.

Key Responsibilities:
  • Monitor and interpret changes in UK regulatory requirements, especially those issued by the FCA.
  • Provide expert guidance on the implementation of regulatory changes impacting FIS products and services.
  • Communicate detailed regulatory requirements to lines of business (LOB), validate solution approaches, and track implementation status.
  • Conduct compliance reviews and assessments, identifying potential gaps or deficiencies and advising on corrective actions.
  • Support ongoing monitoring activities to ensure adherence to regulatory requirements and internal compliance policies.
  • Maintain up-to-date knowledge of applicable regulations and industry best practices.
  • Assist in transaction monitoring, reconciliation processes, and client asset compliance checks.
  • Collaborate with cross-functional teams to promote a strong culture of compliance throughout the organization.
  • Contribute to the continuous improvement of the compliance monitoring program and its related documentation.
Required Skills and Qualifications:
  • Minimum 3+ years of experience in a compliance monitoring or regulatory advisory role, ideally in a UK financial services environment.
  • Solid knowledge of UK financial regulations, including FCA rulebook, CASS, COBS, and other relevant regulatory frameworks.
  • Understanding of financial market operations, including trading, reconciliation, and client asset handling.
  • Strong verbal and written communication skills with the ability to explain complex regulatory matters clearly and concisely.
  • Proven ability to manage competing priorities and deliver accurate work under pressure and tight deadlines.
  • Creative problem-solving skills and the ability to apply them to real-world compliance issues.
  • Self-starter with excellent organizational and time-management abilities.
Preferred Qualifications:
  • Previous experience in a compliance role within a financial institution, fintech, or regulatory body.
  • Familiarity with regulatory technology tools and data analysis for compliance purposes.
  • Professional certifications such as ICA, CISI, or equivalent are a plus.

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