Regulatory Compliance Officer

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Regulatory Compliance Officer 
Salary up to £50K (DOE) + Excellent Benefits 

Lusona Consultancy are working with a Glasgow based Global Corporate for the role of Regulatory Compliance Officer. This department has oversight of the firm’s regulatory requirements across the business. The team are responsible for responding to any regulatory enquiries and requests from corresponding regulatory bodies and exchanges.

Reporting to the head of regulatory enquiries, your responsibilities will include:

  • Ensuring all enquiries are recorded and stored appropriately
  • Reviewing and responding to enquiries relating to various business units, such as institutional securities and investment management
  • Performing risk management due diligence on enquiries
  • Conducting data analysis to understand trading flows that will allow you to respond to any enquiries
  • Liaising with regulators and exchanges to respond to requests in an accurate and timely manner
  • Providing support to other offices with enquiries from local regulators
  • Helping to produce and improve the process of MI reporting
  • Continuously collaborating with senior stakeholders across various areas of the business, from risk management to compliance management and many more.
  • Supporting ad-hoc projects where appropriate.

The successful candidate will have previously worked within a similar role for a minimum of 3-5 years and have working knowledge of trading lines, a range of asset classes and associated rules and regulations. Your experience of such markets could come from a compliance or operational background, within financial services. Ideally you will be degree educated, with CISI qualification, however, this is not essential.

Most importantly you will be a highly organised individual who can manage conflicting deadlines and has an overall willingness to learn. A high level of written and verbal communication skills is essential to respond to requests accordingly, and to collaborate with senior stakeholders across the business, forming strong relationships with legal and compliance, as well as other business units.

Our client boasts excellent workplace facilities, hybrid working arrangements, and genuine opportunities for personal and career progression. For further information contact Eva O’Connor on 07949 509546 or

17 January 2022
Audit & Risk
Compliance / Corporate Governance
Salary up to £50K (DOE) + Excellent Benefits
0141 530 4333