Regulatory Specialist

1 month ago


London, Greater London, United Kingdom Barclay Simpson Full time

Barclay Simpson is recruiting a Regulatory Specialist to support their Wealth Management team in Hertfordshire.

Job Summary:

This is a senior role within the compliance function of a leading regional bank based in Dubai.

  • Location: Hertfordshire
  • Job type: Permanent
  • Sector: Asset Management & Funds

The ideal candidate will have experience in a regulated financial environment, specifically in regulatory compliance and monitoring.

This role reports to the Regulatory Compliance Manager and supports the firm's dedication to compliance and operational resilience.

The estimated salary for this position is £60,000 - £80,000 per annum, depending on experience.

Key Responsibilities:
  1. Conduct regular audits to ensure regulatory compliance.
  2. Maintain awareness of the regulatory environment and update procedures accordingly.
  3. Analyze data to identify trends, risk, and potential anomalies.
  4. Develop and implement policies to mitigate risks.
  5. Collaborate with internal teams to ensure compliance with regulatory requirements.
Requirements:
  • Experience in a regulated financial environment, with a focus on regulatory compliance.
  • Experience in compliance monitoring.
  • Familiarity with CASS, MiFID, trade/transaction reporting, and tools like Dow Jones and Lexis Nexis.
  • Strong communication, problem-solving, and organizational skills, plus a proactive, adaptable approach.


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