Regulatory Compliance Officer

2 months ago

London, United Kingdom WE Talent Full time

**WE Talent** are working with a regulatory business in the City of London who are recruiting for a **Regulatory Compliance Officer** to join their team.

You will be working within a small team and closely with the Deputy Director to manage a case load of clients for the purposes of inspection and monitoring practices.

**Responsibilities**
- Prepare for inspections including research, gathering information and requesting information to be supplied
- Conduct both remote and onsite inspections to audit compliance and adherence to regulatory standards (policy, operational and financial)
- Identify and report breaches
- Assist with misconduct and disciplinary investigation, actions and outcomes
- Taking details of complaints and investigating
- Perform Anti Money Laundering (AML) checks and assessments
- Compile accurate and detailed reports of findings
- Liaise closely with your portfolio of clients, key stakeholders and members of the public to provide information and guidance on regulatory queries
- Monitor, delegate and respond to the team inboxes
- Project work including data compilation, analysis and report creation using Excel
- Support to the wider team and Directors as required

**Requirements**:

- Previous experience in regulatory compliance / audit / compliance is essential
- Familiar with adherence to policy and codes of conduct
- Experienced with Anti Money Laundering policies (AML)
- Strong relationship building skills (internal and external)
- A confident communicator able to converse with all levels of seniority and deliver sometimes challenging messages
- Able to work with a high degree of confidentiality
- A confident user of technology
- Self motivated and able to take ownership
- Process driven
- Able to work fast with high degree of accuracy and attention to detail
- A confident user of IT (Outlook/Word/Excel to intermediate level)
- A thorough worker able to manage multiple priorities
- Able to and happy to travel around the UK for onsite inspections (several times a month)

**You will be rewarded with**
- 22 days Annual Leave plus bank holidays
- Vitality healthcare scheme
- Auto enrolment pension
- Hybrid work from home option after training (3 in London, 2 at home with some flexibility)
- 35 hours per week
- Dog friendly office
- Wellness Room
- Games Room
- Walking distance to London Liverpool Street
- This may suit: Regulatory Officer, Regulation Officer, Regulatory Affairs, Regulatory and compliance officer, Auditor, Compliance Officer_

**Salary**: £24,000.00-£40,000.00 per year

**Benefits**:

- Company pension
- Health & wellbeing programme
- Work from home

Schedule:

- Day shift
- Monday to Friday

COVID-19 considerations:
N/A

Application question(s):

- Can you commute to the office in London for hybrid working? (Note this role is NOT fully remote)

Work Location: Hybrid remote in London

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