Compliance Regulatory Officer

Key responsibilities:

• Conduct the identification, analysis, monitoring & evaluation of daily UK and Irish (EU) FS regulatory and PS pronouncements which impact on the activities of our business, producing management information and written communications for Working Groups, Committees & Boards.

• Support the Head of Regulatory Developments with the delivery of regulatory change led projects by:
  • developing and maintaining project plans.
  • serving on relevant interest groups, working parties and committees.
  • preparing packs for Regulatory Developments led meetings and taking minutes where required.

• Assist with meeting the function's BAU commitments (e.g. meeting preparations, stakeholder queries, etc).

• Assist in maintaining the procedures relating to regulatory developments tracking, including maintenance of the inventory of primary and secondary sources used for tracking. The role also requires the individual to participate in professional body forums (some of which are occasionally held outside contracted working hours).

Candidate Profile

Key Competencies:

• Analytical Thinking: Analysing and breaking issues down to resolve them, making systematic and rational judgement based on relevant information and experience; Ability to translate complex concepts into high quality communications.
• Judgement: Make timely decisions that demonstrate considered judgement; Works calmly under pressure to tight deadlines whilst maintaining attention to detail.
• Planning & Organising: Planning and organising in advance to meet deadlines whilst also managing ad hoc issues as they arise (strong in case management).
• Proactive: Ability to work independently as well as being a team player; A fast learner with curiosity; Results-driven 'can-do' approach; Client, service and solution minded.
• Communication / Influencing: Exhibits strong interpersonal skills, having the ability to influence others and coordinate activities across a group of people, establishing who key decision makers are, their priorities and their approaches; At ease to liaise at all hierarchical levels.

Education/Qualifications:

• Educated to degree level, 2:1 classification or above.
• Professional qualification minimum level 3 which includes an FS Regulatory unit (e.g. CISI IOC).

Skills, Knowledge & Experience:

• Familiar with the Investment Management, Financial Planning and Fund Administration sectors in which we operate, their respective regulatory frameworks (across the UK and Ireland) and their current & emerging regulatory issues.
• Ability to engage stakeholders in driving proportionate and accurate implementation of regulatory change.
• Risk aware with an ability to prioritise information.
• Displays a proactive approach and willingness to learn.
• Strong communication (reading, verbal and writing) and inter-personal skills.
• Solid level of proficiency on key MS Office packages (Excel, Word, Powerpoint).
• Prepared to work within a small professional team.