Regulatory Expert

4 weeks ago


London Area, United Kingdom Lawson Chase Full time

Job Title: Regulatory Expert - Compliance Advisory Lead

About Lawson Chase:

Lawson Chase is a respected UK headquartered investment management firm seeking a Regulatory Expert - Compliance Advisory Lead for a 6-month fixed-term contract.

Key Responsibilities:

Compliance Advisory:

  • Provide guidance on policies and procedures, representing Compliance in business projects requiring input.

Regulatory Implementation:

  • Partner with the wider compliance team to integrate regulatory policy changes affecting in-scope jurisdictions.
  • Share knowledge and expertise to aid the Regulatory Policy Manager in creating implementation plans and assessing impacts on the firm.
  • Ensure policies and procedures comply with regulatory standards, updating them as necessary.
  • Support the implementation of regulatory changes in collaboration with Compliance and business teams.

Regulatory Reporting:

  • Assist with ensuring all compliance reports are completed and submitted punctually.

Leadership in Compliance Activities:

  • Approving financial promotions and conducting monitoring.
  • Handling Senior Management Function (SMF) FCA applications.
  • Coordinating conflict-of-interest management.
  • Overseeing compliance for funds in relevant jurisdictions.

Collaboration with Compliance Monitoring:

  • Work closely with the Compliance Monitoring team to keep them informed of policy and procedure updates.

Business Support:

  • Assist in developing and delivering compliance training.
  • Help business areas maintain compliant systems, procedures, and controls.

Additional Responsibilities:

  • Handle any other compliance-related tasks required to fulfill the firm's obligations.

About the Role:

This is a 6-month fixed-term contract, working as part of the Compliance team at Lawson Chase. If you have experience in compliance and regulatory matters, we encourage you to apply.



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