Regulatory Compliance Expert
4 weeks ago
We are seeking a highly skilled Regulatory Compliance Expert to join our team at NatWest.
Job DescriptionReporting to: Line Manager
Location: [Location]
Job Type: Full-time
Estimated Salary: £45,000 - £55,000 per annum
Key Responsibilities- Monitor scheme assets to ensure compliance with relevant FCA Collective Investment Scheme regulations, ESG specific criteria, and other restrictions stipulated within scheme documentation.
- Undertake extensive research of underlying security holdings and collate information from various data sources.
- Interpret and write compliance rules within the compliance systems.
- Ensure scheme holdings are eligible in accordance with FCA rules and Eligible Assets Directives.
- Maintain up-to-date knowledge of FCA regulatory changes and their potential impacts.
- Conduct daily and periodic reviews of static data related to scheme information and security data.
- Respond promptly to client queries and provide regulatory guidance as needed.
- Research the suitability of potential eligible assets in accordance with rules and provide full regulatory reports to clients.
- Solid technical understanding of security products and markets.
- Knowledge of the UK and EU regulatory framework in relation to collective investment schemes.
- Ability to fully participate as part of an effective team.
- Good communication and interpersonal skills.
- Knowledge and experience of compliance monitoring systems.
- Ability to interpret and write compliance rules.
- Strong analytical skills and attention to detail.
- Ability to understand complex trading strategies and provide input on their classification and appropriateness within regulations.
We offer a competitive salary, a comprehensive benefits package, and opportunities for career growth and development within a dynamic and supportive team environment.
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