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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