Senior Regulatory Specialist - VP (12 month FTC)

City of London Permanent
  • Growing compliance team
  • Regulatory specialist reporting to CCO

About Our Client

Our client are a leading financial services firm based in the City of London.

Job Description

The Senior Regulatory Specialist - VP ( 12 month FTC)) will be responsible for:

  • Regulatory liaison - being the lead relationship manager for the FCA relationship (and other regulatory authorities as appropriate).
  • External Compliance - keeping track of all incoming regulatory requests and ensuring they are logged,followed up, and responded to by the team and/or wider organisation in an appropriate and timely manner. This also includes drafting and managing the process for regular annual regulatory submissions.
  • Internal Compliance - working with the Group Compliance Monitoring team to ensure processes and procedures have clear and well established controls and are assessed as compliant on an ongoing basis.
  • Advisory - advising and assisting management and employees responsible for carrying out activities with complying with relevant regulatory requirements.
  • Regulatory Policy - a degree of engagement in the regulatory policy space, including through engagement with relevant industry associations.

The Successful Applicant

The Senior Regulatory Specialist - VP (12 month FTC) should have the following skills:Academic and Professional Qualifications Required:

· Degree level or equivalentRequired Knowledge and Level of Experience:

· The candidate should have extensive experience in a relevant compliance or regulatory role, including dealing

directly with regulatory authorities.

· The candidate should be able to evidence strong knowledge and experience of the trading process, and the

regulatory environment(s) applicable to it - in particular, MiFID/R and the REC handbook.

· Knowledge and understanding of the forward looking regulatory policy agenda Skills set and Core Competencies Required for Role:

· Strong communication and interpersonal skills, with an ability to engage and build relationships with people of

all levels of seniority, being able to tailor messages accordingly.

· Excellent organisation and time management skills with appropriate attention to detail.

· Ability to prioritise work and to manage expectations.

· Ability to learn quickly, and to understand and distill complex topics.

· Excellent judgement.

· Solid experience of operating compliance policy and procedures.

What's on Offer

Salary of £90,000-£100,000 plus benefitsHybrid workingStrong benefits package

Karen O'Neill
Quote job ref
Phone number
+44 207 645 1432

Job summary

Job function
Banking & Financial Services
Compliance & Legal
Financial Services
City of London
Contract type
Consultant name
Karen O'Neill
Consultant phone
+44 207 645 1432
Job reference