Regulatory Risk Specialist

3 weeks ago


Newcastle upon Tyne, Newcastle upon Tyne, United Kingdom Azets Full time

We are seeking a highly skilled Regulatory Risk Specialist to join our Wealth Management team at Azets.

The successful candidate will have extensive experience in compliance within the financial industry, with a focus on Wealth Management compliance, and a deep understanding of relevant financial regulations.

This role requires strong analytical, problem-solving, and risk assessment skills, as well as experience in monitoring and assessing compliance risks associated with Wealth Management activities.

A minimum of 5 years of experience in compliance within the financial industry, with a focus on Wealth Management compliance, is required.

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

Key Responsibilities:

  • Stay up-to-date with relevant laws and regulations affecting Wealth Management services and products.
  • Develop and maintain compliance policies and procedures specific to Wealth Management.
  • Design and deliver compliance training programs to educate Wealth Management staff on regulatory requirements and compliance best practices.
  • Ensure that client communication meets regulatory standards and those set by the firm.
  • Collaborate with other risk management functions within Azets to create a holistic risk management approach.

Azets offers a range of benefits, including hybrid and flexible working arrangements, birthday leave, professional subscriptions, and more.



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