Regulatory Specialist

Regulatory Specialist

February 2022
To proactively deliver regulatory compliance support services to meet with the firm’s risk mitigation, needs and objectives to help to deliver good customer outcomes. Identify opportunities and trends and deliver a quality service. Aim to be the market leading support services brand for directly authorised firms.

Responsibilities:


  • Prepare and deliver comprehensive and practical Compliance Support Services, support to clients need and objectives, to assist with the delivery of good customer outcomes.
  • Produce and deliver reports and action plans including practical solutions to specific business needs for clients to enable them to develop, monitor and maintain compliance standards.
  • Provide constructive feedback to assist with the review, development and maintenance of internal documentation to enable delivery of quality services.
  • Develop and maintain effective and proactive working relationships with internal and external stakeholders.
  • Maintain and develop own technical and regulatory knowledge.
  • Take opportunities, both reactive and proactive to assist with the development additional services and support for clients.
  • Support negotiation of Contract Renewals and management retention risk with internal and external stakeholders.
  • Support customer training/meetings at client or external premises. Representing Sesame Bankhall Group professionally at both Sesame Bankhall Group and Industry events.
  • Actively support and engage with business projects as required by Regulatory Oversight Supervisor to meet client needs and business objectives.
  • Manage own time effectively to achieve objectives and key milestones agreed, together with planning and completing personal development activity.
  • To undertake projects as and when required, to support the needs of the business or to achieve departmental objectives.

Essential Skills and Knowledge:


  • Good Interpersonal skills with the ability to build strong working relationships.
  • Ability to negotiate and influence principals and advisers within customer firms.
  • Ability to plan, manage and maximise use of own time and effectiveness.
  • Excellent communication skills.
  • Good IT skills with the ability to learn as required.
  • Good knowledge of the FCA Rules and Principles.


Apply Back to all jobs
Full time
£42,000 – £44,000 with car allowance
Field Mobile (Scotland)
Closing Date: 18th March

Essential Skills Required

Relevant experience in a similar role.
Supervisory experience.

Critical Knowledge Required

Level 4 Diploma in Financial Services or equivalent.
Supervisory competence.
Sesame
Bankhall
PMS
Sesame Bankhall Valuation Services
Your Learning Hub
The People Department

Copyright 2022 by SBG - Sesame Bankhall Group