Regulatory Compliance

A leadingfinancial institution is seeking a RegulatoryProcesses Lead for a 6‑month contract within its Core Compliancefunction. This role supports key regulatory processes across UK andinternational regimes.

Key Responsibilities

• Manage regulatory licensing and certification processes (UK & international).
• Lead annual Fitness & Propriety and recertification cycles.
• Support preparation and submission of regulatory returns.
• Coordinate compliance training plans, materials and completion monitoring.
• Produce management information and support Compliance Risk Assessments.
• Assist with breach reporting and process improvements.

Skills & Experience

• Strong knowledge of UK SMCR.
• Experience managing complex regulatory or compliance processes.
• High attention to detail and ability to prioritise under pressure.
• Proficient in Excel, PowerPoint and Word.
• Collaborative team‑oriented approach.

Personal Attributes

• Clear communicator with strong judgement.
• Proactive, organised and calm under pressure.
• Solutions‑focused with a logical, structured approach.

Qualifications

• Degree or equivalent experience.

Desirable: US regulatory exposure (SEC/CFTC APregimes), MI production, risk assessment experience.

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