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Senior Regulatory Compliance Officer

  • Location: City of London
  • Salary: £80,000 - £85,000 per year
  • Job Type:Permanent

Posted 20 days ago

  • Sector: Compliance
  • Contact: JAKE KELLY
  • Contact Email:
  • Expiry Date: 04 February 2022
  • Job Ref: JK/18452

MERJE are currently partnering with a leading investments business looking for a Senior Compliance Officer to ensure that all regulatory compliance requirements are complied with.


·         Ensure that appropriate controls, procedures and training are in place to ensure compliance with the Codes of Conduct of the RICS, HMRC, FCA and BNPP Group.

·         Provide ad hoc advisory support to all employees on questions relating to Codes of Conduct of the RICS, HMRC, FCA and BNPP Group.

·         Managing Regulatory Engagement, i.e. overseeing who in the firm deals with and is involved with the different regulators

·         Taking the lead in supporting the Head of Compliance in managing communications with the HMRC, FCA and other regulators. This could entail dealing directly with such regulators.

·         Manage the Regulatory rules and risk horizon scanning for new HMRC, RICS and FCA rules, including lobbying and responding to consultation papers, Take the Compliance lead in presenting Compliance’s requirements and views in the Legal lead Regulatory Watch Committee.

·         To participate in or lead, as appropriate, regulatory change impact assessments and implementation projects as the Compliance subject matter expert on regulation and to arbitrate on regulatory interpretations where differences of view exist.

·         To provide briefings on regulatory developments and impact assessments to senior management and governance bodies.



Key Requirements:


  • Strong track record of managing Regulatory Compliance issues at a top class financial institution.

  • An experienced “Regulatory Compliance Generalist” with a particular focus on building and managing Compliance Frameworks as well as a focus on regulatory registrations and permissions.

  • Strong experience as an advisory Compliance Officer dealing in multiple Regulatory Compliance topics with multiple Business Teams.

  • Strong track record in managing and implementing Codes of Conduct.

  • Ability to manage and simultaneously deal with a variety of Regulatory Compliance tasks and objectives.

  • Possess the attitude and ability to identify new or emerging regulatory risk.