At a Glance
- Tasks: Lead regulatory licensing applications and manage compliance initiatives for a growing energy trading firm.
- Company: Dynamic energy trading firm expanding into new markets and products.
- Benefits: Competitive contract pay, flexible working arrangements, and exposure to senior leadership.
- Other info: Collaborative environment with opportunities to influence key regulatory projects.
- Why this job: Join a high-impact role that shapes regulatory strategy and drives business growth.
- Qualifications: 6+ years in regulatory licensing with strong FCA/DFSA knowledge required.
The predicted salary is between 60000 - 80000 £ per year.
Location: London
Contract Role
Overview
A rapidly growing energy trading and market-making firm is seeking an experienced Regulatory Licensing & Authorisation Specialist to support a number of strategic regulatory initiatives across the UK and UAE. This is a high-impact contract role focused on securing new regulatory permissions, managing licence variations, and supporting the firm's continued expansion into new products, jurisdictions, and regulated activities.
The successful candidate will work closely with senior leadership, legal, compliance, risk, and external regulators, taking ownership of the end-to-end licensing process and ensuring applications are delivered to the highest regulatory standards.
Key Responsibilities
- Lead the preparation, management, and submission of FCA and DFSA licence applications, including new authorisations, licence variations, and regulatory approvals.
- Develop and coordinate all supporting application documentation, including business plans, compliance frameworks, policies and procedures, governance structures, organisational charts, and fit & proper assessments.
- Act as the primary point of contact throughout the application process, managing interactions with regulators and responding to information requests and regulatory queries.
- Advise senior stakeholders on regulatory strategy relating to new business lines, legal entities, jurisdictions, and controlled functions.
- Conduct gap analyses against relevant FCA and DFSA regulatory requirements and recommend remediation plans where required.
- Coordinate cross-functional workstreams involving Compliance, Risk, Legal, Finance, Operations, and Senior Management.
- Support ongoing regulatory relationship management and licence maintenance activities following approval.
- Ensure all submissions are accurate, complete, and aligned with regulatory expectations and industry best practice.
Requirements
- 6+ years of direct experience delivering regulatory licensing, authorisation, or regulatory change projects.
- Proven experience securing FCA permissions and/or DFSA licences for investment firms, brokerages, trading firms, market makers, or other regulated financial institutions.
- Strong understanding of the FCA Handbook, particularly SYSC, SUP, and PERG, together with relevant DFSA regulations and rulebooks.
- Demonstrated experience managing complex regulatory projects involving multiple stakeholders and tight timelines.
- Background within financial services, ideally including derivatives, commodities, capital markets, brokerage, electronic trading, or market-making environments.
- Excellent drafting, documentation, and regulatory communication skills.
- Strong stakeholder management and project coordination capabilities.
Preferred Background
- Previous experience within a Big Four advisory practice, specialist regulatory consultancy, legal advisory firm, or in-house regulatory licensing function.
- Experience supporting regulatory applications for trading, brokerage, market-making, or investment management businesses.
- Former regulator or regulatory consultant with recent hands-on experience managing successful FCA and/or DFSA authorisation processes.
Regulatory Licensing Applications Compliance Contractor in London employer: AEJ Consulting Ltd
Join a rapidly growing energy trading and market-making firm in London, where you will play a pivotal role in shaping the regulatory landscape. Our dynamic work culture fosters collaboration and innovation, providing you with ample opportunities for professional growth while working alongside senior leadership and industry experts. With a focus on securing new regulatory permissions and managing complex projects, this contract role offers a unique chance to make a significant impact in a fast-paced environment.
StudySmarter Expert Advice🤫
We think this is how you could land Regulatory Licensing Applications Compliance Contractor in London
✨Tip Number 1
Network like a pro! Get out there and connect with folks in the industry. Attend events, join online forums, and don’t be shy about reaching out on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its regulatory landscape. Understand their recent projects and challenges. This will help you tailor your responses and show that you're genuinely interested in the role and the firm’s mission.
✨Tip Number 3
Practice makes perfect! Conduct mock interviews with friends or mentors to refine your answers and boost your confidence. Focus on articulating your experience with FCA and DFSA processes clearly and concisely.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of opportunities that might just be the perfect fit for you. Plus, applying directly shows your enthusiasm and commitment to joining our team.
We think you need these skills to ace Regulatory Licensing Applications Compliance Contractor in London
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience with FCA and DFSA licensing. We want to see how your background aligns with the specific requirements of the role, so don’t hold back on showcasing your relevant skills!
Showcase Your Regulatory Knowledge:Demonstrate your understanding of the FCA Handbook and DFSA regulations in your application. We’re looking for candidates who can clearly articulate their knowledge and experience in regulatory compliance, so be sure to include examples that reflect this.
Be Clear and Concise:When drafting your application, keep it straightforward and to the point. We appreciate clarity, so avoid jargon and ensure your key achievements stand out. This will help us quickly see why you’re a great fit for the role!
Apply Through Our Website:We encourage you to submit your application directly through our website. It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it makes the whole process smoother for everyone involved!
How to prepare for a job interview at AEJ Consulting Ltd
✨Know Your Regulations
Make sure you brush up on the FCA Handbook and DFSA regulations before your interview. Being able to discuss specific sections like SYSC, SUP, and PERG will show that you’re not just familiar with the rules but can also apply them in real-world scenarios.
✨Showcase Your Project Management Skills
Prepare examples of complex regulatory projects you've managed. Highlight how you coordinated with multiple stakeholders and met tight deadlines. This will demonstrate your ability to handle the high-impact nature of the role.
✨Be Ready for Scenario Questions
Expect questions that ask how you would handle specific regulatory challenges or licensing processes. Think through potential scenarios beforehand and be ready to explain your thought process and decision-making.
✨Engage with Senior Stakeholders
Since this role involves advising senior leadership, practice articulating your thoughts clearly and confidently. Show that you can communicate complex regulatory strategies effectively, making it easy for them to understand the implications.
