At a Glance
- Tasks: Lead regulatory enquiries and manage inspections while coordinating with various stakeholders.
- Company: Join Swift, a forward-thinking financial services company committed to innovation.
- Benefits: Competitive salary, flexible working options, and opportunities for professional growth.
- Other info: Dynamic workplace that values diverse ideas and encourages all to apply.
- Why this job: Make a real impact by ensuring compliance and building relationships with regulators.
- Qualifications: Masters degree and significant experience in compliance or regulatory affairs required.
The predicted salary is between 80000 - 100000 £ per year.
Requirements
- Masters degree in Finance, Law, Business, or a related field (advanced degree preferred)
- Significant experience (typically 8–12+ years) in compliance, regulatory affairs, audit, or risk management within financial services
- Proven experience managing regulatory inspections or audits in a technology-related context
- Strong understanding of financial services regulations and supervisory processes
- Experience interacting directly with regulators is an asset
- Excellent project management and organizational skills
- Strong stakeholder management and influencing abilities
- Exceptional written and verbal communication skills
- High attention to detail and quality assurance mindset
- Ability to work under pressure and manage multiple priorities
- Sound judgment and ability to handle sensitive/confidential information
- Analytical thinking with a proactive, solution-oriented approach
At Swift, we are dedicated to building a workplace where people can bring their full selves and ideas to the team, so if you are excited about this role, we encourage you to apply even if you do not meet every single qualification.
What the job involves
- Regulatory Enquiries Management
- Lead end-to-end coordination of regulatory questionnaires, inspections, and supervisory reviews
- Act as the primary point of contact for the business during reviews and inspections
- Develop project management plans, including timelines, document requests, and stakeholder coordination
- Ensure accurate, consistent, and timely responses to regulatory requests
- Stakeholder Coordination
- Partner with the business, Compliance, Legal, Risk and Internal Audit to gather required information
- Prepare and facilitate senior management on inspection scope, risks, and progress
- Coordinate internal preparatory meetings and walkthroughs with regulators
- Coach the business on how to present to regulators and senior board audiences
- Documentation & Response Oversight
- Review and challenge materials submitted to regulators for completeness, accuracy, and clarity
- Maintain a centralized repository of regulatory requests, responses, and supporting documentation
- Ensure alignment of responses with regulatory expectations and internal policies, in close collaboration with compliance, oversight affairs, legal, etc.
- Issue Management & Remediation
- Track regulatory findings, observations, and recommendations
- Coordinate development of remediation plans with accountable owners
- Monitor progress and ensure timely closure of regulatory actions
- Prepare status updates and reports for senior leadership and governance committees
- Regulatory Relationship Management
- Support the development of a constructive and transparent relationship with regulators in close collaboration with Regulatory Affairs and Compliance
- Stay informed of regulatory priorities, trends, and emerging risks
- Advise internal stakeholders on regulatory expectations and best practices
- Continuous Improvement
- Identify opportunities to improve readiness processes and controls for onsite reviews and quarterly regulatory meetings
- Lead post-onsite reviews to capture lessons learned
- Enhance frameworks for regulatory engagement, documentation, and governance together with Oversight Affairs and Compliance
- Key Performance Indicators (KPIs)
- Timeliness and quality of regulatory responses
- Successful coordination and execution of inspections
- Closure rate and timeliness of remediation actions
- Effectiveness of inspection readiness and governance processes
Regulatory Lead employer: Dormont Manufacturing Co
At Swift, we pride ourselves on fostering an inclusive and dynamic work environment where innovation thrives. As a Regulatory Lead, you will benefit from our commitment to employee growth through continuous learning opportunities and a collaborative culture that values diverse perspectives. Located in a vibrant financial hub, we offer competitive benefits and the chance to engage directly with regulators, making your role both impactful and rewarding.
StudySmarter Expert Advice🤫
We think this is how you could land Regulatory Lead
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Dormont Manufacturing Co looking for candidates who are engaged and informed.
We think you need these skills to ace Regulatory Lead
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Dormont Manufacturing Co. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Dormont Manufacturing Co
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Dormont Manufacturing Co’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
