Regulatory Compliance Specialist

United Kingdom·LondonPermanent - Full Timemid

Legal & ComplianceCompliance

0 views0 saves0 applied

Apply Now

Quick Summary

Overview

Overview of the role The Regulatory Compliance Specialist is a newly created second line compliance role within IFX's Regulatory Compliance team,

Technical Tools

Legal & ComplianceCompliance

Overview of the role

The Regulatory Compliance Specialist is a newly created second line compliance role within IFX's Regulatory Compliance team, reporting to the Compliance Director and working alongside the team’s other Regulatory Compliance Specialist. It offers broad, hands-on exposure across the full regulatory compliance programme, with scope to also support the advisory remit dependent on experience.

The second line role has been created to add capacity and resilience to the team. It takes day-to-day ownership of regulatory change and supports existing coverage of compliance monitoring and testing, surveillance alert review, policy management, Consumer Duty MI, conflicts of interest log management and regulatory advisory work.

Purpose of the Role 

Regulatory Change Management: Own the day-to-day regulatory change process, ensuring relevant developments are identified, assessed and actioned.
Compliance Monitoring Plan: Support the team's delivery of the Compliance Monitoring Plan, attestations and surveillance alert review.
Compliance Advisory: Advise the business day to day on new/changes to products, client journeys, new business initiatives or in effect regulatory obligations (dependent on experience).
Compliance Programme: Provide the Regulatory Compliance team with additional support across key compliance activities.
Regulatory Compliance Policies: Support the Regulatory Compliance team in maintaining an up-to-date and effective compliance policy framework.
Management Information: Support the production of accurate and timely compliance and Consumer Duty MI.