Regulatory Compliance Lead

2 weeks ago


St Albans, United Kingdom Abacus Consulting Full time
Position Overview

Join Abacus Consulting as a Regulatory Compliance Lead within a thriving and privately owned financial services firm. This role offers a competitive salary of up to £65,000 and is based in St Albans.

As a pivotal member of our team, you will oversee compliance and risk management, ensuring adherence to all relevant regulations, including FCA obligations, Data Protection, Fraud Prevention, Consumer Duty Basic Principles, and anti-money laundering measures.

Key Responsibilities
  • Ensure that the compliance function maintains appropriate regulatory engagement, with procedures and monitoring activities that adequately support mandatory requirements.
  • Provide oversight and guidance on Compliance and Anti-Money Laundering (AML) as well as Data Protection.
  • Contribute to the timely and accurate completion of regulatory returns.
  • Review and communicate significant regulatory developments to prepare the business for compliance with new requirements.
  • Manage day-to-day compliance breaches and complaints, ensuring timely support is provided.
  • Assist in the Compliance Monitoring Plan to evaluate the company's adherence to regulatory requirements.
  • Maintain the company's Breach Register, ensuring breaches are reported and resolved to a high standard within agreed service level agreements.
Qualifications and Experience
  • A minimum of 5 years' experience in the Financial Services sector, with at least 3 years in a compliance role, preferably within Investment and Life Protection.
  • Relevant qualifications in financial services.
  • Strong interpersonal and communication skills, with the ability to build strategic relationships both internally and externally.
  • Demonstrated sound judgment and a commercial outlook.
  • Familiarity with the FCA handbook and data protection regulations.


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