At a Glance
- Tasks: Support compliance, manage regulatory risks, and provide guidance across the UK.
- Company: Join a leading private bank with a strong commitment to compliance and ethics.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Dynamic role with opportunities for growth and collaboration across teams.
- Why this job: Make a real impact in regulatory compliance while working with industry experts.
- Qualifications: Experience in regulatory environments and strong communication skills required.
The predicted salary is between 70000 - 90000 £ per year.
The principal duty of the Regulatory Compliance Specialist is to support the Brown Shipley Head of Compliance, ensuring that the team delivers high-quality compliance advice to colleagues across the UK in the areas of Conduct of Business, Investor Protection, Market Abuse and Cross-Border regulations. The role holder reports to Brown Shipley’s Head of Compliance and has a functional reporting line to Quintet’s Head of Group Regulatory Compliance & Cross Border, working closely with other EU and UK RC advisors to deliver on the Compliance function’s strategy.
Responsibilities
- Support regulatory interactions, manage compliance risk and provide clear, pragmatic guidance to the business.
- Identify, assess and manage regulatory risk, ensuring it is governed and aligned to the firm’s risk appetite.
- Partner with EU and UK RC advisors to ensure delivery of the Compliance function’s strategy.
- Act as a culture ambassador, carrying out all duties in strict accordance with Quintet’s Code of Conduct and fostering a positive compliance culture within Brown Shipley and Quintet.
- Steward risk: oversee, manage and govern RCC risk, and advise LoD, process, control and risk owners on appropriate risk-control measures.
- Draft and review Quintet’s RCC policies and procedures, maintaining alignment with the expectations of Brown Shipley and UK regulators and best industry practice.
- Support the business with the implementation of new regulatory initiatives from local and other UK regulators, providing technical regulatory support.
- Assist Brown Shipley Head of Compliance and RCC Head of Compliance in producing technical analyses and reports related to regulatory risk for escalation to supervisory and governance bodies.
- Collaborate with teams within the Compliance Function (Monitoring, Business Management, FCC, Business Management) to achieve strategic objectives.
Qualifications
- Good working knowledge of the Brown Shipley and UK regulatory environment in the listed RCC topics.
- Ability to interpret rules and regulations and communicate requirements clearly to a diverse range of stakeholders.
- Experience drawing up and maintaining policies on regulatory requirements.
- Proven relevant experience in a Tier 1 private bank, wealth or asset manager, regulator, legal or professional services firm.
- Excellent written, verbal, numeric and comprehension skills, and IT proficiency.
- Strong communication (verbal & written), critical thinking & problem solving, time management and results orientation.
- Collaborative teamwork and technical skills.
- Extensive experience in a similar role.
- Higher education degree (University/Bachelor).
- Fluent in English; additional European language advantageous.
Regulatory Compliance Specialist employer: Quintet Private Bank
Brown Shipley is an exceptional employer, offering a dynamic work environment where compliance professionals can thrive. With a strong commitment to employee growth and development, the company fosters a culture of collaboration and integrity, ensuring that team members are well-supported in their roles. Located in the heart of the UK, employees benefit from access to a wealth of resources and networking opportunities within the financial services sector, making it an ideal place for those seeking meaningful and rewarding careers in regulatory compliance.
StudySmarter Expert Advice🤫
We think this is how you could land Regulatory Compliance Specialist
✨Tip Number 1
Network like a pro! Reach out to folks in the industry, attend events, and connect with people 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 compliance culture. Understand their values and how they align with your own. This will help you showcase why you're the perfect fit for the Regulatory Compliance Specialist role.
✨Tip Number 3
Practice your responses to common interview questions, especially those related to regulatory risk and compliance. Use the STAR method (Situation, Task, Action, Result) to structure your answers and highlight your experience effectively.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Regulatory Compliance Specialist
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Regulatory Compliance Specialist role. Highlight your experience in compliance, risk management, and any relevant regulatory knowledge. We want to see how your background aligns with what we’re looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how your skills can benefit us at Brown Shipley. Keep it concise but impactful – we love a good story!
Showcase Your Communication Skills:Since this role involves a lot of communication, make sure your application reflects your written communication skills. Use clear and professional language, and don’t forget to proofread for any typos or errors – we appreciate attention to detail!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy – just follow the prompts!
How to prepare for a job interview at Quintet Private Bank
✨Know Your Regulations
Make sure you brush up on the key regulations relevant to the role, such as Conduct of Business and Market Abuse. Being able to discuss these topics confidently will show that you’re not just familiar with the compliance landscape but also ready to tackle the challenges head-on.
✨Showcase Your Communication Skills
Since the role involves communicating complex regulatory requirements to various stakeholders, practice articulating your thoughts clearly and concisely. Consider preparing examples from your past experience where you successfully conveyed compliance information to non-experts.
✨Demonstrate Your Problem-Solving Ability
Prepare to discuss specific instances where you identified and managed compliance risks. Highlight your critical thinking skills by explaining how you approached these situations and what outcomes you achieved. This will illustrate your proactive mindset.
✨Emphasise Team Collaboration
The role requires working closely with other compliance advisors and teams. Be ready to share examples of how you’ve collaborated in the past, particularly in a regulatory context. This will show that you understand the importance of teamwork in achieving compliance objectives.
