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- Tasks: Provide regulatory guidance and compliance oversight to ensure business meets regulations.
- Company: Join a dynamic team in Bromley focused on financial services compliance.
- Benefits: Enjoy flexible working options, a company bonus, and a contributory pension scheme.
- Why this job: Be part of impactful projects while developing your expertise in compliance and regulation.
- Qualifications: Strong understanding of UK financial services regulation and excellent communication skills required.
- Other info: Work 35 hours a week with the option to work from home after training.
The predicted salary is between 36000 - 60000 £ per year.
You will be operating as part of the second line of defense by providing regulatory technical and compliance oversight and practical guidance to the business. You will play a key role in the delivery of change to meet new and upcoming regulations and the compliance strategic plan.
Your day to day will include:
- Providing expert and practical regulatory guidance to the business in relation to its products, systems, policies, processes and controls.
- Providing pragmatic guidance on regulatory matters.
- Acting as the compliance SME on projects, governance committees and meetings.
- Analyzing and interpreting conduct risk and compliance MI sharing insights.
- Providing support to business areas on how to appropriately resolve any identified compliance issues, including root cause analysis and remediation.
- Maintaining a deep understanding of UK financial services regulation, and upcoming regulatory change, producing summaries and a Compliance Bulletin for all employees.
- Being a key member of project teams providing technical compliance input.
- Engaging in advisory work to provide guidance to staff on how to comply with relevant requirements in the context of issues raised during normal business activities.
- Reviewing and approving all financial promotions, marketing material and the website, escalating concerns to the Head of Compliance.
- Supporting the development and review of key compliance policies, processes and controls, working with Risk and Internal Audit.
- Assisting in compliance reporting for the Executive, Board and IoF.
Working hours are 35 hours a week Monday to Friday. Start times can vary from 8am to 9.30am. After a successful training period there is flexibility to work from home up to 2/3 days a week.
What we require:
- Good understanding of UK financial services regulation, how it applies to Foresters and the impact of the requirements.
- A strong understanding of regulatory and conduct risk management practices in financial services, and what it means to deliver good customer outcomes.
- Commercially sensitive and pragmatic, with the ability to take a risk-based approach on decisions that impact the business.
- Confident in voicing an opinion and escalate to the Head of Compliance if uncomfortable with the decisions made by the business.
- Excellent interpersonal, influencing and communication skills, including the ability to explain requirements in straightforward/practical terms.
- Solution and delivery focused, with high energy and drive, and ability to deliver through others.
- Must be able to build strong relationships with key stakeholders across the business at all levels.
- Excellent planning and report writing skills.
What we offer you:
- Company Bonus dependent on your performance and company performance.
- Life Assurance (4x pensionable earnings).
- Contributory Pension scheme (company contribute up to 10%).
Compliance and Regulatory Specialist employer: Foresters Financial
Contact Detail:
Foresters Financial Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance and Regulatory Specialist
✨Tip Number 1
Familiarise yourself with the latest UK financial services regulations and compliance frameworks. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance and regulatory field. Attend industry events or join relevant online forums to connect with others who can provide insights or even refer you to opportunities at StudySmarter.
✨Tip Number 3
Prepare to discuss real-world scenarios where you've successfully navigated compliance challenges. Being able to share specific examples will showcase your practical experience and problem-solving skills during the interview.
✨Tip Number 4
Research StudySmarter's current compliance policies and any recent changes in regulations that may affect our operations. This will allow you to engage in meaningful discussions during your interview and show that you're proactive about understanding our business.
We think you need these skills to ace Compliance and Regulatory Specialist
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Compliance and Regulatory Specialist position. Tailor your application to highlight relevant experience and skills that align with the job description.
Highlight Relevant Experience: In your CV and cover letter, emphasise your understanding of UK financial services regulation and any previous experience in compliance or regulatory roles. Use specific examples to demonstrate your expertise and how it relates to the role.
Craft a Strong Cover Letter: Write a compelling cover letter that not only outlines your qualifications but also showcases your interpersonal and communication skills. Explain how you can provide practical guidance and support to the business, as mentioned in the job description.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects your attention to detail, which is crucial for a compliance role.
How to prepare for a job interview at Foresters Financial
✨Know Your Regulations
Make sure you have a solid understanding of UK financial services regulations. Be prepared to discuss how these regulations apply to the company and the potential impact on their operations.
✨Demonstrate Practical Guidance Skills
Prepare examples of how you've provided practical regulatory guidance in previous roles. Highlight your ability to simplify complex regulations for stakeholders, showcasing your communication skills.
✨Showcase Your Problem-Solving Abilities
Be ready to discuss specific compliance issues you've encountered and how you resolved them. Emphasise your analytical skills and your approach to root cause analysis and remediation.
✨Build Rapport with Stakeholders
Think about how you can build strong relationships with key stakeholders. Prepare to share experiences where you've successfully influenced others or collaborated on compliance projects.