
Regulatory Compliance Professional
14 hours ago
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 financial services products and services.
- Communicate detailed regulatory requirements to lines of business, 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.
Requirements:
- 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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