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Regulatory Compliance Manager

WE Talent

London

Permanent

£40000 - £55000/annum

EC2M1BB

Posted: 06/07/2024

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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

WE Talent acts as an employment agency for permanent recruitment. By applying for this job, you accept the Privacy Policy and Disclaimers which can be supplied on request

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