Regulatory Compliance Officer

1 week ago

London, Greater London, United Kingdom Buckden Partners Full time
Job Description

This Generalist Compliance Officer or Manager position at Buckden Partners is a key opportunity for an experienced compliance professional to join our team and contribute to our organization's success. With a salary range of £60,000 - £80,000 per annum, this role offers a competitive compensation package and the chance to work with a reputable firm in the industry.

Main Responsibilities
  • Policies and Procedures:
    • Develop, implement, and review policies and procedures to ensure compliance with regulatory requirements.
    • Maintain and enhance the enterprise risk framework to mitigate potential risks.
  • Risk Management:
    • Conduct regular risk assessments to identify potential threats and opportunities.
    • Develop and implement a comprehensive risk-based compliance monitoring program to mitigate identified risks.
  • Regulatory Compliance:
    • Stay up-to-date with regulatory changes and ensure compliance with all relevant laws, regulations, and internal policies.
    • Collaborate with regulatory bodies, including the FCA, to ensure adherence to regulatory requirements.
  • Operational Compliance:
    • Manage day-to-day compliance activities, including reporting, audits, and stakeholder engagement.
    • Lead the implementation of regulatory requirements and maintain accurate records of compliance activities.
  • Collaboration and Culture Building:
    • Embed a culture of risk awareness and compliance throughout the organization.
    • Provide guidance and support to colleagues on regulatory matters.
  • Reporting and Record Keeping:
    • Prepare regular compliance reports for senior management, highlighting key findings and recommendations.
Requirements
  • Professional Expertise:
    • Proven experience as a compliance practitioner in the bank or non-bank lending sector.
    • Familiarity with regulated and unregulated products, such as Bridging Loans, Buy-to-Let Lending, and Consumer Buy-to-Let or Consumer lending.
    • Deep knowledge of FCA MCOB and MCD regulations.
  • Technical and Practical Knowledge:
    • Expertise in FCA reporting procedures, systems, and standards.
    • Experience managing compliance teams and implementing risk control systems.
  • Personal and Professional Qualities:
    • Strong judgement, integrity, and business acumen.
    • Excellent communication, organizational, negotiation, and influencing skills.
    • Attention to detail and effective time management.
  • Stakeholder Management:
    • Experience reporting to senior management and collaborating with internal and external stakeholders.
    • Ability to embed best practices and adapt to emerging regulatory trends.

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