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Regulatory Affairs Specialist

2 months ago

London, Greater London, United Kingdom Barclay Simpson Full time £80,000 - £100,000

Job Title: Regulatory Affairs Specialist

Job Summary:

Barclay Simpson is seeking a highly skilled Regulatory Affairs Specialist to join our team. As a key member of our compliance function, you will be responsible for managing the Control Room function on a day-to-day basis.

Key Responsibilities:

  • Manage and maintain all policies and procedures for the control room.
  • Process and prepare daily control room reports, including the Restricted List, Credit Research List, PA Dealing Stop & Watch List, Short Selling Reports, Takeover Panel Reports, and Watch List/Restricted List Monitoring.
  • Process PAD requests, Gift & Entertainment requests, and Outside Business Interests submissions.
  • Provide management of the Central Compliance and Control Room function, including workflow and ensuring the submission of all daily reports as required.
  • Assist in the development and implementation of compliance policies and procedures.
  • Collaborate with the compliance team to ensure effective risk management and regulatory compliance.

Requirements:

  • Experience in a compliance role, preferably in a financial institution.
  • Strong understanding of regulatory compliance in capital markets and sales and trading.
  • Excellent communication and interpersonal skills.
  • Ability to work in a fast-paced environment and prioritize multiple tasks.
  • Hybrid working arrangement available, with 2 days in the office and 3 days at home.

About Us:

Barclay Simpson is a leading recruitment agency specializing in financial services. We are committed to providing exceptional service and expertise to our clients and candidates.