Regulatory Compliance Specialist

4 weeks ago

Horsham, West Sussex, United Kingdom Schroders Recruitment Full time
Job Description

We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Schroders Recruitment. As a key member of our compliance function, you will play a critical role in ensuring that our business operates in accordance with relevant regulatory requirements.

Your primary responsibility will be to assess and help operationalize regulatory requirements, both existing and new. You will provide practical insight and assist decision-makers within the Benchmark Capital Group to ensure compliance with all relevant regulations, with a specific focus on Financial Conduct Authority (FCA) outputs.

You will be responsible for providing timely and practical regulatory guidance, regulatory research, and assistance to relevant stakeholders, as well as other compliance colleagues, on applicable regulatory requirements and industry best practice standards.

Key Responsibilities
  1. Assist the Group Technical Compliance Manager with regulatory change horizon scanning to identify and diagnose material regulatory developments impacting all aspects of the Benchmark Capital business.
  2. Support the Technical Compliance Manager to track, record, and communicate FCA and other bodies' regulatory outputs, as well as assist on assessing the relevance to the Group's FCA authorized firms.
  3. Following output from horizon scanning activity, provide regulatory analysis and document requirements for regulatory initiatives.
  4. Working closely with subject matter experts in compliance and the business to support detailed impact assessment of regulatory developments, and tracking of required actions for implementation.
  5. Interact with all relevant business functions, and develop an understanding of each impacted area to advise on potential appropriate solutions.
  6. Assist with implementation of regulatory developments, working collaboratively with the business and compliance functions to facilitate appropriate impact assessments and gap analysis, and ensure relevant implementation requirements are executed to a good standard and in a timely manner.
  7. Providing timely and concise regulatory summaries and updates to stakeholders across the Benchmark Group, including producing a Quarterly Regulatory Change update.
  8. Assessing the impact of both existing regulations and new regulatory developments, and operationalize such regulatory requirements in a pragmatic and proportionate way.
  9. Provision of accurate and timely expertise and advice (including on application of the FCA handbook) to regulatory queries from the business. A risk-based and common-sense approach needs to be taken.
  10. Assist in projects to provide compliance analysis and review of new business initiatives; developments, corporate projects, by providing support and guidance.
  11. Supporting the establishment of robust control frameworks and processes, to embed regulatory requirements throughout the business.
  12. Attend meetings and act as the regulatory compliance representation.
  13. Attend industry (including professional services and legal) events to identify emerging standards and trends, to ensure the Benchmark remains aligned to best business practices.
  14. Awareness-raising among Group employees regarding compliance risk, and the strengthening of the compliance culture within Benchmark / Schroders.
  15. From time to time, support Group Head of Risk & Compliance with FCA engagement, including regulatory visits; and responses to consultations, as well as ad-hoc requests.
  16. Take on tasks and projects as delegated by the Group Technical Compliance Manager and Group Head of Risk & Compliance, applying a can-do attitude and a timely approach.
  17. Ensure that the Group Technical Compliance Manager and Group Head of Risk & Compliance is made aware of any issues which the Regulatory Compliance Consultant deems material.
  18. Maintain up to date Continuous Professional Development (CPD) records demonstrating that the skills and knowledge required to do the job are being maintained and enhanced.
Requirements
  1. 3+ years' experience within a FS Compliance function, ideally within an advisory / support role in the wealth / investment management industry.
  2. Good knowledge of investment / wealth management industry, including pensions and platforms.
  3. Well-developed regulatory compliance experience, and ability to operationalise regulatory change.
  4. Good understanding of relevant regulatory rules (especially FCA) and their interpretation / application, gained through previous exposure and/or professional qualifications. and the ability to interpret regulation and regulatory, and distil likely commercial and operational impacts.
  5. General awareness of Financial Services and Markets Act 2000 (FSMA) and other related legislation.
  6. Good understanding of current and emerging regulatory compliance market trends, methods, and tools.
  7. Strong interpersonal and communication skills (written and spoken) with the ability to build strong working relationships with key stakeholders in the business and compliance.
  8. Ability to communicate the impact of regulatory developments to a range of senior internal and external partners, in a concise and articulate manner.
  9. Competent with Microsoft Office programs, including data analysis/manipulation in MS Excel.

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