Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Support regulatory risk management and deliver independent assessments in a dynamic investment bank.
- Company: Join a leading London-based investment bank known for its innovative approach to finance.
- Benefits: Enjoy hybrid working options and a collaborative work culture with opportunities for growth.
- Why this job: Make a real impact on regulatory compliance while developing your skills in a fast-paced environment.
- Qualifications: Experience in financial services compliance, particularly in wealth management, is essential.
- Other info: This is a 6-month contract role with potential for future opportunities.
The predicted salary is between 48000 - 72000 £ per year.
6 month contract Hybrid Working Leading London Based Investment Bank
You Will:
- Support the business in managing regulatory risk.
- Perform second-line-of-defense activities in relation to consequential regulatory risks.
- Ensure frameworks are designed well and operating effectively.
- Deliver independent assessment and reports that shed light on our regulatory performance.
- Provide business management with input to controls, tools, training, frameworks and information and insights required to manage regulatory risk.
Your Skills:
- Experience in compliance within the financial services sector, preferably in a Wealth Manager.
- Solid understanding and experience of analysis of business processes.
- Regulatory knowledge as it relates to wealth management, in particular of FCA Consumer Duty, High Risk Investments (HRI), ESG and SDR, general UK MIFID II implementation, conduct risk and Financial Promotions requirements.
- Experience of working on the delivery of new projects and implementing regulatory change in a demanding environment.
- A pragmatic approach with the ability to deliver sound compliant solutions.
- Able to analyze and communicate complex regulatory topics effectively, manage stakeholders and challenge with an independent mindset.
- Able to proactively identify and evaluate emerging regulatory developments and trends to ensure impact on the business is fully assessed.
If you match the above criteria, please apply!
Regulatory Compliance Specialist employer: eFinancialCareers
Contact Detail:
eFinancialCareers Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Compliance Specialist
✨Tip Number 1
Network with professionals in the financial services sector, especially those who work in compliance. Attend industry events or webinars to connect with potential colleagues and learn about the latest regulatory trends.
✨Tip Number 2
Familiarise yourself with the specific regulations mentioned in the job description, such as FCA Consumer Duty and MIFID II. Being able to discuss these topics confidently during an interview will demonstrate your expertise and commitment to the role.
✨Tip Number 3
Prepare examples from your past experience that showcase your ability to manage regulatory risks and implement compliant solutions. Use the STAR method (Situation, Task, Action, Result) to structure your responses effectively.
✨Tip Number 4
Stay updated on emerging regulatory developments by following relevant news sources and regulatory bodies. This knowledge will not only help you in interviews but also show your proactive approach to compliance.
We think you need these skills to ace Regulatory Compliance Specialist
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance within the financial services sector, especially in wealth management. Emphasise your understanding of regulatory frameworks like FCA Consumer Duty and MIFID II.
Craft a Strong Cover Letter: In your cover letter, explain how your skills align with the responsibilities of the Regulatory Compliance Specialist role. Mention specific examples of how you've managed regulatory risks or implemented changes in previous roles.
Showcase Relevant Experience: Detail your experience with second-line-of-defense activities and your ability to deliver independent assessments. Highlight any projects where you successfully navigated regulatory changes or improved compliance processes.
Demonstrate Stakeholder Management Skills: Provide examples of how you've effectively communicated complex regulatory topics to stakeholders. This will show your ability to manage relationships and challenge ideas with an independent mindset.
How to prepare for a job interview at eFinancialCareers
✨Know Your Regulations
Make sure you have a solid understanding of the key regulations relevant to the role, such as FCA Consumer Duty and MIFID II. Be prepared to discuss how these regulations impact the business and your approach to compliance.
✨Demonstrate Analytical Skills
Be ready to showcase your ability to analyse business processes and regulatory risks. Prepare examples from your past experience where you've successfully identified issues and implemented compliant solutions.
✨Showcase Project Experience
Highlight any experience you have in delivering new projects or implementing regulatory changes. Discuss specific challenges you faced and how you overcame them, demonstrating your pragmatic approach.
✨Effective Communication is Key
Prepare to explain complex regulatory topics in a clear and concise manner. Think about how you can communicate these topics to various stakeholders, ensuring they understand the implications for the business.
