Senior Regulatory Specialist in London

Diligenta's vision is to be acknowledged as a best-in-class platform-based life and pensions administration service provider. Customer service is at the heart of everything we do, and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we drive a culture that is founded on positive change and development.

Summary of the Role

We are looking for the ideal candidate to guide the regulatory aspects of technology and risk frameworks within broader systems and corporate oversight. The position has a focus on horizon scanning and regulatory change, with the ideal candidate having knowledge of AI and regulatory technology (RegTech). All role incumbents must maintain a good working knowledge of applicable FCA principles, specifically including (but not limited to) Consumer Duty and the fair treatment of vulnerable customers to ensure good customer outcomes are at the heart of our culture and all roles and activities. In addition, participate in all required and mandatory training as required.

This role is available in various locations such as: Peterborough, Bristol, Glasgow.

What You’ll Be Doing

• Play a key technical and advisory role, providing advice & guidance to business areas, to ensure that Diligenta remains compliant with FCA rules and guidance.
• Provide specialist technical guidance and expertise on regulatory and legislative matters to senior management and operational business managers.
• Monitor the introduction of new legislation/regulations from relevant regulators/bodies, identifying and analysing those of impact to Diligenta.
• Provide SME expertise on RegTech and AI oversight and guidance.
• Undertake oversight exercises, including regulatory gap analysis and thematic assurance reviews.
• Represent Compliance at internal and external Governance forums and committees.
• Support and advise Operations on the maintenance of Training and Competence (T&C) Policy.
• Support and advise the Risk Audit & Compliance Committee, the Executive Management Team, governance forums and clients on the effectiveness of Diligenta's application of regulatory change.
• Deputise for the Technical Manager as necessary.
• Support the delivery of the annual Compliance Plan for Diligenta and its clients.

What We’re Looking For

• Proven experience in a Compliance role, within a Financial Services company.
• Strong understanding of regulatory structure and process, regulations and their underlying principles.
• Able to accept a high level of autonomy and take responsibility for decision making on regulatory matters.
• Ability to undertake travel to other locations as reasonably required.
• Self-starter and willing to work on a wide variety of topics.
• Specialist Compliance knowledge in RegTech and AI.
• Proactive, discreet, communicative, pragmatic and methodical approach.
• Able to propose and implement compliance solutions with the required level of personal impact.
• Able to build and maintain strong relationships with clients.
• Strong questioning attitude to regulatory requirements.
• Strong focus on action and results.
• Able to review management information and highlight trends and concerns.
• Able to produce concise reports for managers and clients.
• Able to work independently and with minimum supervision.
• Proficient in MS Office.

If you need any help or adjustments for any stage within the recruitment process due to health, disability, or any other reason, please let us know.

Ready to take the next step in your career? Apply today and become part of our innovative team!