Regulatory Affairs Specialist

3 weeks ago


High Wycombe, Buckinghamshire, United Kingdom AJ FOX COMPLIANCE Full time

Regulatory Compliance Position

Regulatory Affairs Specialist Job Description

We are seeking a highly skilled Regulatory Affairs Specialist to join our team at AJ FOX COMPLIANCE. The ideal candidate will have a strong background in regulatory compliance, with experience in handling client complaints and liaising with the Legal Ombudsman or SRA as necessary.

Main Responsibilities:
  • Handle client complaints and liaise with the Legal Ombudsman or SRA as necessary
  • Achieve and maintain the Lexcel Standard
  • Support the Money Laundering Reporting Officer (MLRO) and Chief Financial Advocate (COFA)
  • Develop and implement risk management policies, procedures, and internal audits
  • Manage conflicts and disputes
  • Provide support to the firm's Human Resources function
  • Deliver comprehensive training programs across the firm
  • Oversee Professional Indemnity Insurance matters
  • Ensure compliance with Client Due Diligence (CDD) processes
  • Renew practicing certificates and other accreditations

The successful candidate will be an effective communicator, able to work independently and as part of a team. They will also have strong drafting skills, attention to detail, and IT proficiency.

Estimated Salary: £55,000 - £65,000 per annum

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