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WE Talentare working with a regulatory business in the City of London who are recruiting for aRegulatory Compliance Managerto join their team.
This is an ideal role for an individual who thrives under a busy and varied workload with the confidence to communicate a sometimes difficult message effectively.
You will be working within a small team and closely with the Deputy Director and Director to manage a case load of clients for the purposes of inspection and monitoring practices.
Responsibilities
- Prepare for inspections including research, gathering information and requesting information to be supplied
- Conduct both remote and onsite inspections to audit compliance and adherence to regulatory standards (policy, operational and financial)
- Identify and report breaches
- Assist with misconduct and disciplinary investigation, actions and outcomes
- Taking details of complaints and investigating
- Perform Anti Money Laundering (AML) checks and assessments
- Compile accurate and detailed reports of findings
- Liaise closely with your portfolio of clients, key stakeholders and members of the public to provide information and guidance on regulatory queries
- Manage enquiries via phone and email
- Monitor, delegate and respond to the team inboxes
- Project work including data compilation, analysis and report creation using Excel
- Support to the wider team and Directors as required
Requirements
Previous experience in regulatory compliance / audit / compliance is essential
Familiar with adherence to policy and codes of conduct
Experienced with Anti Money Laundering policies (AML)
Strong relationship building skills (internal and external)
A confident communicator able to converse with all levels of seniority and deliver sometimes challenging messages
Able to work with a high degree of confidentiality
A confident user of technology
Self motivated and able to take ownership
Process driven
Able to work fast with high degree of accuracy and attention to detail
A confident user of IT (Outlook/Word/Excel to intermediate level)
A thorough worker able to manage multiple priorities
Able to and happy to travel around the UK for onsite inspections (several times a month)
You will be rewarded with
30 days Annual Leave plus bank holidays
Vitality healthcare scheme
Auto enrolment pension
Hybrid work from home option after training (3 in London, 2 at home with some flexibility)
35 hours per week
Wellness Room
Games Room
Walking distance to London Liverpool Street
*Please note the successful candidate will be required to undertake screening checks prior to starting*
This may suit: Regulatory Officer, Regulation Officer, Regulatory Affairs, Regulatory and compliance officer, Auditor, Compliance Officer, Regulatory Manager, Regulatory Inspections Manager, Regulatory Supervision Manager
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