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For Companies At a Glance
- Tasks: Lead compliance initiatives and provide expert guidance on regulatory matters.
- Company: Join a dynamic financial services firm with a global brand backing.
- Benefits: Enjoy hybrid working, a competitive salary, and a discretionary bonus.
- Why this job: Be part of a growing team that values ethics, inclusion, and career development.
- Qualifications: Strong CASS experience and compliance background in financial services required.
- Other info: This role offers high visibility and autonomy within the compliance team.
The predicted salary is between 51000 - 67000 £ per year.
Job Description
Regulatory and Compliance Lead
This growing financial services firm is on the lookout for a compliance professional with strong CASS experience to join their second-line team. With a focus on regulated outsourcing services and client money oversight, this role is critical to ensuring strong governance and FCA alignment across their expanding portfolio.
Role Overview:
- Location: Hybrid, 2-3 days per week in London Office
- Package: £60,000- £79,000 per annum & £14,000 Discretionary Annual Bonus
- Industry: Financial Services
What You’ll Be Doing:
- Acting as the CASS subject matter expert across the business
- Providing second-line oversight, advice, and guidance to senior stakeholders
- Leading compliance advisory reviews and developing mitigation strategies
- Creating and delivering compliance training across the organisation
- Supporting FCA reporting, SMCR, and regulatory change initiatives
- Handling internal investigations, regulatory queries, and risk assessments
- Preparing compliance MI and contributing to board-level reporting
- Overseeing compliance governance, frameworks, and reporting processes
Main Skills Needed:
- Strong experience in CASS, including client money, CASS RP, and CMAR
- Background in second-line compliance within financial services
- Experience managing complex regulatory compliance issues.
- Familiarity with the FCA Handbook and regulatory reporting requirements
- Excellent stakeholder engagement and communication skills
- Analytical mindset with strong reporting and problem-solving capabilities
- Experience creating and delivering compliance training
- Compliance or Risk Management certifications
- Proficient in Microsoft Excel and other MS Office tools
What’s in It for You:
- Join a forward-thinking, FCA-authorised firm backed by a major global brand
- Hybrid working and varied client exposure
- High visibility and autonomy in a growing compliance team
- Training and development tailored to your regulatory specialism
- A business that values inclusion, ethics, and long-term career growth
Think it could be a fit? We’d love to hear from you.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
By applying you are confirming you are happy to be added to the Addition Solutions mailing list regarding future suitable positions. You can opt out of this at any time simply by contacting one of our consultants.
Regulatory and Compliance Lead employer: Addition
Contact Detail:
Addition Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory and Compliance Lead
✨Tip Number 1
Network with professionals in the financial services sector, especially those who have experience in compliance and CASS. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in regulatory compliance.
✨Tip Number 2
Familiarise yourself with the FCA Handbook and recent regulatory changes. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to staying updated, which is crucial for a role focused on compliance.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled complex regulatory compliance issues in the past. Highlight your analytical mindset and problem-solving capabilities, as these are key skills for the Regulatory and Compliance Lead position.
✨Tip Number 4
Showcase your experience in creating and delivering compliance training. This is an important aspect of the role, so be ready to share how you've successfully engaged stakeholders and improved compliance awareness within your previous organisations.
We think you need these skills to ace Regulatory and Compliance Lead
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in CASS and second-line compliance. Use specific examples that demonstrate your expertise in client money oversight and regulatory compliance issues.
Craft a Compelling Cover Letter: In your cover letter, express your passion for compliance and how your background aligns with the role. Mention your familiarity with the FCA Handbook and your experience in stakeholder engagement.
Showcase Relevant Skills: Emphasise your analytical mindset and problem-solving capabilities. Include any certifications in Compliance or Risk Management, as well as your proficiency in Microsoft Excel and other MS Office tools.
Proofread Your Application: Before submitting, carefully proofread your application to ensure there are no errors. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Addition
✨Showcase Your CASS Expertise
Make sure to highlight your strong experience in CASS during the interview. Be prepared to discuss specific examples of how you've managed client money and handled CASS RP and CMAR issues, as this will demonstrate your suitability for the role.
✨Engage with Stakeholders
Since the role involves providing advice and guidance to senior stakeholders, practice articulating your thoughts clearly and confidently. Prepare to discuss how you've successfully engaged with stakeholders in the past and the impact of your communication skills on compliance outcomes.
✨Prepare for Regulatory Scenarios
Anticipate questions related to complex regulatory compliance issues. Think through scenarios where you had to develop mitigation strategies or handle regulatory queries, and be ready to explain your thought process and the results of your actions.
✨Demonstrate Analytical Skills
The role requires an analytical mindset, so be prepared to discuss how you've used data to inform compliance decisions. Bring examples of reports you've created or problems you've solved using analytical tools, particularly in relation to FCA reporting and compliance MI.
