Regulatory Risk Specialist

1 month ago


London, Greater London, United Kingdom caia - Jobboard Full time

Join us at caia - Jobboard as we seek a skilled Regulatory Risk Specialist to support our leading London-based investment bank in managing regulatory risk. This 6-month contract offers a hybrid working arrangement, providing the perfect balance between work and personal life.

As a Regulatory Risk Specialist, you will:

  • Support the business in managing regulatory risk, ensuring compliance with relevant laws and regulations.
  • Perform second-line-of-defense activities in relation to consequential regulatory risks, providing assurance that our risk management processes are effective.
  • Deliver independent assessment and reports that shed light on our regulatory performance, enabling informed decision-making.
  • Provide business management with input to controls, tools, training, frameworks, and information and insights required to manage regulatory risk.

Your skills and experience will be invaluable in this role, particularly in:

  • Compliance within the financial services sector, preferably in a Wealth Manager.
  • Solid understanding and experience of analysis of business processes.
  • Regulatory knowledge as it relates to wealth management, including FCA Consumer Duty, High Risk Investments (HRI), ESG, and SDR.
  • Experience of working on the delivery of new projects and implementing regulatory change in a demanding environment.
  • Able to analyze and communicate complex regulatory topics effectively, manage stakeholders, and challenge with an independent mindset.
  • Able to proactively identify and evaluate emerging regulatory developments and trends to ensure impact on the business is fully assessed.


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