Regulatory Compliance Manager

WE Talent�are working with a regulatory business in the City of London who are recruiting for a�Regulatory Compliance Manager�to 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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