Regulatory Compliance Officer (North West)

Location UK / Derry

Job Type Permanent full-time

Salary Negotiable

Updated 6 days ago

Reference 1405636

 Job Description

We are seeking a Regulatory Compliance Officer with strong client relationship skills to join the growing outreach team in our North West Office.

Role responsibilities

  • Interacting with institutional and corporate clients daily to gather all regulatory information and mandatory documentation to successfully complete KYC due diligence
  • Manage the relationship with key internal stakeholders; Sales, Legal, Compliance
  • Responsibility for training and development of junior team members
  • Providing detailed MI and reports to clients at agreed frequencies
  • Manage all escalations in a timely fashion, ensuring exceptions to policy are packaged clearly and succinctly for internal compliance review
  • Identify key project risks, whether stated or not, and manage to resolution or escalate accordingly
  • Building and maintaining a strong, effective relationship with our clients
  • Support the wider FinTrU management team to maintain and exceed set project deadlines

Essential Experience

  • Significant experience of Global AML requirements
  • Strong commercial awareness within a professional services or outsourced environment
  • Sound understanding of the regulatory requirements placed on Institutional Clients; Dodd Frank, EMIR, MiFID, BREXIT, QFC etc.
  • Experience in Compliance, Operations, Risk & Regulatory Reform within Investment Banking
  • Experience of project delivery within the financial services sector
  • Performance improvement, business analysis and project management experience
  • Proven experience in undertaking direct Client engagement and outreach activity
  • Preferably 4+ years exposure within an Investment Bank

Person Specification 

  • Exceptional interpersonal & communication skills both verbally and written
  • Strong client relationship skills
  • Organised / structured approach
  • Ability to work in a fast-paced and demanding environment
  • Focused on quality of output as well as speed of delivery 


About FinTrU 

Founded in December 2013, FinTrU is a multi-award winning financial services company that provides high quality, cost-effective, near-shore resourcing solutions for Global Investment Banks.

FinTrU’s products are: Legal, Risk, Compliance, KYC, Operations and Consultancy. Its clients are all Tier 1 Investment Banks based in London, New York, Tokyo, Frankfurt and Paris. FinTrU currently employs 350 staff at its two Belfast city centre offices, located in The Gasworks and Pakenham Street, and in Carlisle House in Derry/Londonderry.

Whilst FinTrU is managed as a profit-driven organisation, Darragh McCarthy, Founder & CEO, also considers FinTrU as having a social purpose to create high-quality professional employment on the island of Ireland. Prior to FinTrU’s establishment, Darragh thoroughly researched various locations across Ireland to determine which location FinTrU should establish in.

The availability of a high number of talented graduates in the job market, coupled with support from Invest NI and cost-effectiveness of Northern Ireland made Belfast the obvious choice as a base for FinTrU. These factors have enabled FinTrU to offer a unique and highly competitive alternative to the more traditional off-shore outsourcing solutions often favoured by Investment Banks.


‘Company of the Year’ – BEFTA Awards 2018

‘Fast Growth Business’ – BEFTA Awards 2018

‘Best Company to Work For’ – Belfast Business Awards 2018

‘Fast Growth Business of the Year’ – Belfast Business Awards 2018

‘Fast Growth Business of the Year’ – Aer Lingus TakeOff Business Awards 2018

‘Best Place to Work’ – Irish News Workplace & Employment Awards 2018

‘Employer of the Year’ – Northern Ireland Chamber Business Awards 2018

‘Best Company to Work For’ – Belfast Business Awards 2018

‘High Growth Business of the Year’ – Northern Ireland Chamber Business Awards 2018