Senior Regulatory Consultant
This financial services- fin-tech business is growing rapidly and looking to appoint a Senior Regulatory Consultant to sit in their Organisational Compliance team here in London.
This financial services- Senior Regulatory Consultant key responsibilities will be:
As needed, deputise for the Organisational Compliance team leader in times of absence and provide day to day support to and guidance for other team members within Group Compliance.
Advise on applicable rules and regulations and provide guidance on complex regulatory queries in general.
Deliver advice, support and challenge to the business as needed on regulatory projects and advice.
In particular provide support to Finance,, Actuarial, Risk, Internal Audit and the CF10a on Solvency II, CRD/CRR, CASS and other prudential and organisational.
Keep informed on regulatory developments affecting the Group, in particular, as regards Solvency II, CRD/CRR, CASS and other prudential and organisational developments and contribute to assessing their impact and lend support on horizon scanning activities in other regulatory areas as needed.
As required, lead or support responses to consultations and implement necessary changes to policies, procedures, processes and systems.
Contribute to the delivery of timely and effective reporting to the regulators, Boards, Committees and Forums, Group Counsel and Head of Compliance on compliance activity and projects.
Lead and/or deliver as required regulatory change projects or compliance initiatives.
Support regulator reporting and regulator visits as needed
This financial services- Senior Regulatory Consultant will have:
This is an excellent opportunity for an analytically strong and intellectually curious compliance professional with significant practical knowledge of, understanding of, and the ability to apply FCA and PRA rules and guidance particularly those relating to COBS, SYSC, CASS, TCF, Conduct Risk and prudential matters (namely IFPRU and BIPRU). A thorough understanding of DISP, SUP, COCON and the PRA's insurance rules for Solvency II firms is also desirable, but not a necessity.
An in-depth understanding of the UK and, ideally, the EU regulatory environment as it relates to the retail financial services industry and investment business is an essential.
Previous knowledge of CASS and Prudential Regulatory matters will be a strong plus. Previous preparation and presentation of regulatory advice, regulatory development updates, regulatory projects delivery and solid ability to generate quality MI and reporting would be desirable.
Based in London