Regulatory Compliance Specialist

This range is provided by fs talent. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

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Risk, Compliance and Financial Crime Recruiter for the Financial Services

Role – Regulatory Compliance Specialist

Company – FX and Payments

Location – London

Regulatory Compliance & Oversight

• Manage the Senior Managers and Certification Regime (SMCR) programme.
• Oversee compliance with Consumer Duty obligations in line with regulatory guidelines.
• Support regulatory reporting requirements across multiple jurisdictions, including the UK, EU, Australia, and Canada.
• Assist in safeguarding oversight, risk event analysis, and breach reporting.
• Monitor regulatory changes across MiFID, E-Money, and EMIR, providing analysis and business guidance.
• Ensure compliance with conduct rules for E-Money and investment services.
• Maintain and enhance regulatory risk assessments at a group level.
• Support compliance with EMIR reporting obligations.

Policy Development & Implementation

• Assist in the development and implementation of policies to ensure adherence to MiFID and E-Money regulations.
• Support regulatory submissions and potential future licensing applications.
• Oversee the approval and monitoring process for financial promotions, ensuring regulatory compliance.

Skills & Experience Required

• Strong knowledge of UK and EU financial regulations, including MiFID, E-Money, EMIR, and FSMA conduct rules.
• Experience with regulatory reporting
• Familiarity with SMCR, Consumer Duty, and safeguarding requirements.
• Experience managing financial promotions approval processes.
• Proficiency in handling regulatory queries and complaints management.
• Previous experience in financial services compliance or regulatory advisory is essential.

Please follow the steps to apply if your experience matches the requirements.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Accounting/Auditing, Administrative, and Legal

• Industries

  Financial Services, Investment Management, and Investment Banking

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