London

Employment type: Full-time | Department: Regulatory Compliance

We’re looking for a proactive, highly motivated individual to help the Regulatory Compliance team deliver on high quality projects and provide advice and support to our growing number of clients. You will work across a variety of different sectors covering a wide range of regulatory focus areas including:

  • All aspects of Governance, including SMCR
  • CASS
  • MiFIR Transaction reporting
  • Best execution
  • Insurance, mortgage, consumer credit and debt management company conduct matters

Such work may include drafting policies and procedures, developing training materials, assisting with authorisations and variations of permissions, as well as carrying out compliance health checks and periodic monitoring. You will also help us to maximise our presence in the industry to secure new clients and work.

You will have compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator, with a good understanding of the FCA rules and regulations. As this team covers a wide range of topics and service areas, you’ll also be keen to develop your knowledge across the spectrum and be willing to tackle a broad range of matters outside your main areas of expertise.

On top of this, you’ll thrive in a fast-paced environment and have the ability to prioritise multiple projects and engagements while meeting tight deadlines. Given the technical nature of the work we do, it goes without saying that high attention-to-detail is paramount.

Requirements

  • Educated to degree level
  • Diploma level compliance-related qualification, or willing to study towards
  • Demonstrable compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
  • Good understanding of FCA rules and regulations
  • A particular interest in developing knowledge of governance requirements, CASS, transaction reporting, best execution and conduct issues for insurance, mortgage, consumer credit and debt management firms
  • Exceptional written and oral communication skills
  • Ability to prioritise multiple projects and engagements whilst meeting tight deadlines Entrepreneurial mind-set and ‘can do’ attitude
  • Excellent Microsoft Office skills
  • High proactivity, with the ability to work on own initiative.

Benefits

  • The opportunity to work in an entrepreneurial, fast-paced environment with plenty of scope for progression
  • A competitive compensation package, including a discretionary profit-related bonus
  • Excellent training and development opportunities