Regulatory Affairs Specialist

1 day ago


Hertfordshire, United Kingdom Compliance Professionals Full time

Job Title: Regulatory Affairs Specialist

About Us: Compliance Professionals is a boutique financial services firm based in St Albans. We are seeking a Regulatory Affairs Specialist on a permanent basis.

Responsibilities:

  • Ensure regulatory compliance: Monitor, analyse and report on regulatory changes to ensure the business remains compliant.
  • Provide guidance: Offer expert advice and guidance on regulatory matters to internal stakeholders.
  • Contribute to regulatory returns: Assist in preparing and submitting accurate and timely regulatory returns.
  • Stay up-to-date with regulatory developments: Review and communicate relevant regulatory updates to ensure the business is prepared for any new requirements.
  • Support day-to-day compliance: Provide ad hoc compliance support and handle breaches and complaints in a timely manner.
  • Identify and monitor risks: Act as a second line defence to identify and monitor risks, providing feedback to the Head of Compliance & Risk and the Operational Practice.
  • Provide training and coaching: Offer compliance training and coaching to internal stakeholders.
  • Analyse and report on breaches: Analyse the causes of regulatory breaches and ensure practical remedial actions have been taken to mitigate against future occurrences.
  • Maintain compliance records: Contribute to maintaining breach registers and complaint management services.
  • Screen clients: Operate PEP and Sanctions screening tools to satisfy regulatory requirements.
  • Review and maintain policies: Review and maintain compliance manuals to ensure they remain relevant and effective.

About the Role:

This is an excellent opportunity for someone to work in a close-knit team and contribute to the success of our business. If you have a commercial outlook and a passion for compliance, we want to hear from you

What We're Looking For:

  • A minimum of 5 years' experience in Financial Services, preferably in the Investment and Life Protection sectors.
  • Appropriate qualifications in financial services.
  • Good interpersonal and communication skills, with the ability to build strategic relationships internally and externally.
  • Sound and proportionate judgement.
  • A commercial outlook.
  • Awareness of the FCA handbook and data protection.
  • Awareness of ISO27001 Standard.

Salary: £60,000 - £80,000 per annum.



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