Regulatory Compliance and Operational Risk Control Specialist

  • £90,000 - £95,000
  • London, England, United Kingdom
  • Permanent, Full time
  • Huntswood Plc
  • 18 Oct 17 2017-10-18

The position is working in the Policy and Regulation team who are responsible for the identification and management of regulatory risk across the business This position will support MiFID II implementation.

The Regulatory Compliance and Operational Risk Specialist will be responsible for; 

  • Supporting the effective management of regulatory risk 
  • Undertaking 2nd Line of Defence activities to support regulatory risk mitigation
  • On-going review and maintenance of regulatory control frameworks
  • Undertaking compliance monitoring reviews and completion of reports that demonstrate regulatory compliance and/or correction actions required
  • Supporting the senior management team with policies and procedures to effective manage regulatory risk

The successful applicant will demonstrate;

  • In-depth knowledge of Financial Conduct Authority (FCA) regulation including investor protection governing UK Wealth Management businesses 
  • The ability to translate regulatory requirements into working policies and procedures
  • Knowledge of MiFID II
  • Professional experience of compliance monitoring, report writing, and input into controls including training and competency frameworks 
  • Excellent written and verbal communication skills

If you wish to learn more about this position and demonstrate the required skills and experience then please apply now.