Regulatory Affairs Specialist

Description:

We are seeking a highly analytical and detail-oriented Regulatory-related Projects Manager with a strong legal background to join our global regulation team. In this role, you will be a key driver in ensuring our multi-jurisdictional operations remain compliant with evolving CFD and futures regulations. You will manage the lifecycle of regulatory projects, oversee critical document updates (User Agreements/Terms & Conditions), and handle complex client escalations. The ideal candidate blends legal expertise with a "hands-on" approach to project implementation and data analysis.

Key Responsibilities

1. Regulatory Project & UA Management

• User Agreement (UA) Lifecycle: Lead the drafting, review, and global rollout of updates to User Agreements and Terms of Business. Ensure alignment with new laws across various jurisdictions (FCA, CySEC, ASIC, FSCA, etc.).
• Regulatory Implementation: Translate new regulatory requirements (e.g., DORA, Consumer Duty, DDO, MIFID) into actionable operational projects. Coordinate with Product, R&D, and Marketing teams to ensure systems are updated by the enforcement deadlines.
• Product Governance: Monitor the regulatory development globally, translate the requirements to operative instructions, ensuring legislation is correctly applied.

2. Analytical Compliance & Reporting

• Data Analysis: Monitor compliance KPIs and Funnel to identify friction points or potential regulatory breaches in the onboarding funnel.
• Reporting: Assist the CRO in preparing the periodical Reporting Pack for the Board of Directors, providing insights into global regulatory trends and audit statuses.
• Gap Analysis: Conduct periodic "Health Checks" on internal policies against international standards (IOSCO/ESMA) to identify and remediate compliance gaps.

3. Client Relations & Dispute Resolution

• Advanced Complaints Handling: Manage escalated client complaints that involve regulatory interpretations or potential ombudsman (FOS/FOI) involvement.
• Regulatory Liaison: Assist in drafting formal responses to Requests for Information (RFIs) and audit findings from global regulators.

Educational & Professional Background

• Legal Degree (LL.B. or LL.M.): Mandatory. A strong foundation in contract law and financial regulations is essential.
• Experience: 3–5 years of experience in Financial Services Compliance, preferably within the CFD/FX or Fintech industry.
• Certifications: Professional certification in Compliance (e.g., ICA Diploma, CISI, or CAMS) is highly preferred.

Technical & Soft Skills

• Analytical Rigor: Ability to analyse large datasets to spot trends in client behaviour or system anomalies.
• Project Management: Proven ability to manage cross-departmental projects with strict regulatory deadlines. Familiarity with Agile or Waterfall methodologies is a plus.
• Drafting Excellence: Exceptional skills in drafting legal documents and formal regulatory correspondence in English.
• Multi-Jurisdictional Knowledge - Advantage: Familiarity with the regulatory frameworks of the UK (FCA), Europe (CySEC/ESMA), and Australia (ASIC).

Personal Attributes

• Integrity: Unwavering ethical standards.
• Adaptability: Ability to thrive in a high-pressure, rapidly changing global regulatory environment.
• Independent and Problem Solver attitude: A "can-do" attitude when faced with complex operational hurdles.