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Regulatory Affairs Officer

London | £42-45K/Year | Ref. VAC13448

A great opportunity has risen for an experienced Regulatory Officer in financial sector.

The company is an internationally operating corporate providing financial related services.

 

The job holder ensures the company is complaint with regulatory requirements and is proactively developing plans to safeguard the company. Additionally, the role is responsible for ensuring local procedures and activities comply with all regulatory requirements. This job holder works closely with European Head quarter dept., other offices in Europe, HQ in Tokyo as well as external partners.

 

Responsibilities:

  • Ensure the preparation and submission of regulatory agency applications, reports, or correspondence as required.
  • Review all regulatory agency submission materials to ensure timeliness, accuracy, comprehensiveness, or compliance with regulatory standards.
  • Investigate new legal requirements, conduct an impact analysis and report those results to the management.
  • Assist in the development and implementation of regulatory policies and procedures to ensure that regulatory compliance is maintained or enhanced in Europe.
  • Following instructions by senior members investigate any issue with issues with internal legal counsel or external parties.
  • Read documents such as guideline published by regulatory agencies and report the summary to the management.
  • Assist in the corporate risk management and liaise with other department and branches to mitigate those risks.
  • Provide guidance to other offices in Europe on regulatory changes and related matters, and ensure that information is interpreted correctly.
  • Monitor emerging trends regarding industry regulations to determine potential impacts on organisational process.
  • Provide responses to regulatory agencies regarding product information or issues.
  • Train staff in regulatory policies or procedures.
  • Business trip when required
  • Other ad-hoc(reporting, support managements) duties when necessary

Requirements

  • Solid experience (5 years+, preferably financial sector) as well as good understanding regulatory compliance in Europe including GDPR
  • Understanding of legal entity structures and organisations
  • Ability to manage multiple concurrent projects and to reason analytically is required
  • Strong analytical skills in facilitating collection and dissemination or regulatory requirements
  • Strong Planning and organising skills
  • Ability to execute against the strategy
  • Excellent verbal, written and customer communications skills with technical and non-technical end users
  • Bachelor’s degree or equivalent
  • Relevant certification (regulatory)
  • Advanced proficiency in Japanese and English

Conditions

  • Salary: £42-45,000 per annum, negotiable depending on experience
  • Location: Central London
  • Other benefits are available