Regulatory Compliance Officer

3 days ago

City Of London, United Kingdom May & Stephens Full time
Job Description

Regulatory Compliance Officer - Risk Management Specialist

About the Role

May & Stephens is seeking a highly skilled Regulatory Compliance Officer - Risk Management Specialist to join our team. As a key member of our compliance department, you will be responsible for monitoring and surveillance programs, maintaining professionalism within the compliance team, and building relationships with the front office.

Key Responsibilities

  • Work with the Compliance team to create effective monitoring and testing plans to ensure business operations are consistently in compliance.
  • Execute compliance reviews to guarantee the effectiveness of controls and processes.
  • Conduct engaging classroom-style training sessions for the Front Office on relevant compliance topics, including regulatory obligations and risk management.
  • Nurture relationships with the front office to increase their understanding of regulatory requirements and risk management best practices.
  • Provide day-to-day compliance advice and guidance, acting as the go-to resource for regulatory queries and risk management concerns.
  • Raise awareness of the firm's processes and procedures, empowering the front office as the first line of defense against regulatory risks.
  • Monitor Front Office activities for conduct and rule adherence, analyzing identified issues and escalating as necessary.
  • Test controls to guarantee business operations are consistently in compliance.
  • Generate Management Information (MI) reports on surveillance, liaison, and training activities.
  • Provide support for testing and the development of new systems, contributing to the continuous improvement of our regulatory practices and risk management.
  • Lead projects focused on remediating specific areas of the Regulatory Compliance Department's monitoring oversight.
  • Take charge of compliance-led solutions when weaknesses in the first line of defense are identified.
  • Collaborate with the team to ensure policies and procedures accurately reflect best practices and risk management principles.
  • Actively participate in ad-hoc generalist compliance tasks, monitoring team inboxes, and providing cover for other team members.

Requirements

  • Experience in regulatory compliance within the financial services industry.
  • Excellent communication and relationship-building skills to work effectively with cross-functional teams.
  • High standard of oral & written English is mandatory.

What We Offer

  • Competitive salary + discretionary bonus.
  • Private healthcare.
  • Pension scheme.
  • Free onsite state of the art Gym.
  • A great working environment.
  • The opportunity to develop your skills within a growing company.

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