Regulatory Affairs Specialist

4 weeks ago

London, Greater London, United Kingdom Compliance Professionals Full time

Company Overview


We are a global banking group, offering Corporate/Private Banking and Asset Management services in the UK market.


About the Role


This is an exciting opportunity to join our team as a Regulatory Affairs Specialist in the Compliance Monitoring department. As a key member of our team, you will play a vital role in ensuring adherence to regulatory requirements and internal policies.


Main Responsibilities:



  • Conduct regular compliance reviews to ensure adherence to regulatory requirements and internal policies.
  • Monitor and assess the effectiveness of compliance controls and procedures.
  • Identify and report compliance risks and issues and recommend corrective actions.
  • Develop and implement compliance monitoring plans and schedules.
  • Provide support for compliance monitoring reporting to the Business Risk Committee, the Board and the Audit and Risk Oversight Committee.
  • Assist with preparing and submitting necessary reports to Group Compliance.
  • Assist with overseeing third party providers including risk assessment and SLA monitoring.
  • Identify and escalate any significant regulatory issues to the Head of Compliance & MLRO.
  • Maintain up-to-date knowledge of relevant laws, regulations and industry standards.
  • Assist in the development and maintenance of Compliance desktop procedures.
  • Strive to act in line with the target culture including values, behaviours and D&I, promoting a strong compliance culture within the Business.
  • Read and understand relevant policies and processes.
  • Adhere to relevant rules and regulations and Board approved Risk Appetite Statement and agreed limits.
  • Complete mandatory training on time.
  • Maintain personal development plans, and leverage industry associations to keep up to date with market best practices and new regulatory requirements.
  • Represent Compliance on relevant governance committee(s) as required.
  • Undertake ad-hoc projects as required.

Requirements


To be successful in this role, you will need:



  • A relevant compliance or investment management certificate or diplomas desirable.
  • General experience (around 5 years) in a compliance monitoring role working for a UK regulated investment management firm.
  • A comprehensive understanding of regulatory and/or compliance matters which impact the investment management sector.
  • Sound knowledge of regulatory requirements and industry standards.

Salary: £55,000 - £65,000 per annum


Based on your skills and experience, we offer a competitive salary package, including a base salary of £55,000-£65,000 per annum, depending on qualifications and experience. In addition to a generous salary, you will receive a range of benefits and perks designed to make your work-life balance enjoyable and rewarding.

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