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For Companies At a Glance
- Tasks: Manage compliance programmes and oversee regulatory reporting across multiple jurisdictions.
- Company: Join a leading FinTech firm in FX and Payments based in London.
- Benefits: Enjoy competitive pay, potential remote work options, and a dynamic work environment.
- Why this job: Be part of a crucial role ensuring financial integrity and compliance in a fast-paced industry.
- Qualifications: Strong knowledge of UK and EU financial regulations is essential; experience in compliance is a must.
- Other info: This is a full-time position with opportunities for growth in the financial services sector.
The predicted salary is between 42000 - 84000 £ per year.
Regulatory Compliance & Oversight
- Manage the Senior Managers and Certification Regime (SMCR) programme.
- Oversee compliance with Consumer Duty obligations in line with regulatory guidelines.
- Support regulatory reporting requirements across multiple jurisdictions, including the UK, EU, Australia, and Canada.
- Assist in safeguarding oversight, risk event analysis, and breach reporting.
- Monitor regulatory changes across MiFID, E-Money, and EMIR, providing analysis and business guidance.
- Ensure compliance with conduct rules for E-Money and investment services.
- Maintain and enhance regulatory risk assessments at a group level.
- Support compliance with EMIR reporting obligations.
Policy Development & Implementation
- Assist in the development and implementation of policies to ensure adherence to MiFID and E-Money regulations.
- Support regulatory submissions and potential future licensing applications.
- Oversee the approval and monitoring process for financial promotions, ensuring regulatory compliance.
Skills & Experience Required
- Strong knowledge of UK and EU financial regulations, including MiFID, E-Money, EMIR, and FSMA conduct rules.
- Experience with regulatory reporting.
- Familiarity with SMCR, Consumer Duty, and safeguarding requirements.
- Experience managing financial promotions approval processes.
- Proficiency in handling regulatory queries and complaints management.
- Previous experience in financial services compliance or regulatory advisory is essential.
Regulatory Compliance Specialist employer: fs talent
Contact Detail:
fs talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Compliance Specialist
✨Tip Number 1
Familiarise yourself with the latest updates on UK and EU financial regulations, especially MiFID, E-Money, and EMIR. This knowledge will not only help you in interviews but also demonstrate your commitment to staying current in the field.
✨Tip Number 2
Network with professionals in the regulatory compliance space, particularly those working in FinTech or payments. Attend industry events or webinars to make connections that could lead to referrals or insider information about the role.
✨Tip Number 3
Prepare to discuss specific examples of how you've managed compliance processes or handled regulatory queries in your previous roles. Real-life scenarios can showcase your expertise and problem-solving skills effectively.
✨Tip Number 4
Research the company’s approach to compliance and any recent news related to their regulatory practices. Tailoring your conversation to align with their values and challenges can set you apart from other candidates.
We think you need these skills to ace Regulatory Compliance Specialist
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Regulatory Compliance Specialist. Familiarise yourself with key regulations like MiFID, E-Money, and EMIR, as well as the Senior Managers and Certification Regime (SMCR). This knowledge will help you tailor your application.
Tailor Your CV: Highlight your relevant experience in financial services compliance or regulatory advisory. Be specific about your familiarity with UK and EU financial regulations, and mention any direct experience with regulatory reporting and managing financial promotions approval processes.
Craft a Strong Cover Letter: Use your cover letter to demonstrate your understanding of the company's needs and how your skills align with them. Mention your experience with Consumer Duty obligations and your ability to monitor regulatory changes, showcasing your proactive approach to compliance.
Proofread Your Application: Ensure that your application is free from errors. A well-written application reflects your attention to detail, which is crucial in a compliance role. Consider asking a friend or colleague to review your documents before submission.
How to prepare for a job interview at fs talent
✨Know Your Regulations
Make sure you have a solid understanding of UK and EU financial regulations, especially MiFID, E-Money, and EMIR. Brush up on the Senior Managers and Certification Regime (SMCR) and Consumer Duty obligations, as these are crucial for the role.
✨Prepare Real-World Examples
Be ready to discuss your previous experience in regulatory compliance. Think of specific instances where you managed financial promotions or handled regulatory queries, as these will demonstrate your practical knowledge and problem-solving skills.
✨Stay Updated on Regulatory Changes
Show that you’re proactive by being aware of recent changes in regulations. Discuss how you’ve adapted to these changes in past roles, and be prepared to offer insights on how they might impact the company you're interviewing with.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance strategies and challenges. This not only shows your interest in the role but also demonstrates your analytical thinking and understanding of the industry.
