A Fintech company seeks a Regulatory Compliance advisor. They will provide compliance oversight, advice and guidance. The person will be part of the Regulatory Compliance Advisory Department. This group offers technical guidance, support and tailored feedback on regulatory issues to ensure that existing processes, systems and controls—and any changes to them—comply with regulatory obligations and the firm’s own standards and principles

This is a new function within the Compliance Division and offers the right candidate the opportunity to be involved in helping develop and establish the department and collaborate with different divisions and business leaders.

Essential Function / Major Duties And Responsibilities Of The Role

Regulatory Requirements

  • Understand key applicable regulatory requirements
  • Keep abreast of regulatory developments and assist with the preparation of regulatory change reporting to keep management up to date on relevant legal and regulatory developments
  • Support Compliance Leads and business units in analyzing and implementing new or changing regulatory requirements and standards 


  • Support provision of advice to assigned business units on regulatory compliance matters and provide technical guidance, support and tailored feedback on regulatory issues
  • Support provision of advice to assigned business units in the identification of regulatory compliance risks, assessing controls and reporting on effectiveness of controls to ensure compliance with applicable standards and internal policy requirements
  • Support the assigned business units departments in conducting risk based reviews of existing and emerging regulatory requirements and provide advice on how to address issues and control gaps
  • Support assigned business units to ensure that new business initiatives and amended processes comply with regulatory obligations
  • Collaborate with assigned business unit to develop the appropriate training materials designed to raise awareness of regulatory compliance risk and how it is mitigated
  • Maintain strong working relationships with business unit managers in order to ensure the timely delivery of quality information and increase the likelihood of favorable conditions for compliance activities
  • Responsible for fostering a culture of compliance within the organization in a manner consistent with company values
  •  Effectively support the influencing of business decisions and the identification and escalation of issues  
  • Support the Compliance Leads in the development of the compliance strategy for the assigned business units
  •  Contribute to the development of projects and programs to improve compliance and enhance the control environment
  • Provide direct input to more junior professionals to improve their understanding of compliance, control and documentation policies

Experience / Essential And Desired For Successful Job Performance

  • Bachelor’s degree in finance/economics or law degree, or the equivalent combination of education and experience is required—legal qualification an advantage
  • 5+ years of experience in a compliance/legal function
  • Proven Compliance Advisory support experience
  • Experience leading/contributing to the design and management compliance training programs
  •  Experience in analyzing and implementing regulatory reform measures

If you are interested in this role, please email resumes to Jack Kelly at Jack@ComplianceSearch.com.

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