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Regulatory Compliance Specialist

Finance Network
London, United Kingdom
Closing date
Mar 28, 2024

View more

Job Function
Industry Sector
Finance - General
Employment Type
Full Time
6 month contract

Hybrid Working

Leading London Based Investment Bank

You Will:
  • support the business in managing regulatory risk
  • perform second-line-of-defense activities in relation to consequential regulatory risks
  • ensure frameworks are designed well and operating effectively
  • deliver independent assessment and reports that shed light on our regulatory performance
  • provide business management with input to controls, tools, training, frameworks and information and insights required to manage regulatory risk

Your Skills:
  • experience 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, in particular of FCA Consumer Duty, High Risk Investments (HRI), ESG and SDR, general UK MIFID II implementation, conduct risk and Financial Promotions requirements
  • experience of working on the delivery of new projects and implementing regulatory change in a demanding environment.
  • a pragmatic approach with the ability to deliver sound compliant solutions
  • 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

If you match the above criteria, please apply!

This role is advertised via Hays Talent Solutions.

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