261 Regulatory Compliance jobs in the United Kingdom

Job Title: SEC and FINRA Compliance Specialist

About the Role:

We are seeking a highly energetic, skilled, and experienced SEC and FINRA Specialist to join our platform. This individual will serve as the in-house compliance expert and subject matter expert (SME), ensuring our software and services are fully aligned with U.S. securities regulations and industry standards. You will play a critical role in enabling clients to rely on our technology for accurate and compliant regulatory reporting.

Key Responsibilities:

• Serve as the SME on SEC and FINRA trade reporting requirements , including CAT, CAIS, Bluesheets, and MSRB.
• Collaborate closely with Product and Engineering teams to ensure regulatory rules are accurately implemented in our transaction reporting platform, En:ACT.
• Monitor ongoing regulatory developments and assess their impact on product features and client obligations.
• Provide client support during regulatory onboarding, audits, and issue resolution related to trade reporting.
• Ensure data accuracy and completeness across CAT, CAIS, and Bluesheets submissions through thorough validation and QA processes.
• Work in tandem with the transactional reporting Advisory team , offering clear and actionable compliance insights in a client-centric manner.
• Assist with ad hoc regulatory challenges from clients relating to reporting regimes.
• Contribute to the creation of regulatory documentation , user guides, and internal training materials to strengthen compliance awareness across teams.

Key Skills & Qualifications:

Essential Requirements:

• 3–5 years of experience in Regulatory Technology or within the financial services industry.
• Deep knowledge of CAT/CAIS reporting and SEC trade lifecycle requirements.
• Experience with FINRA CAIS registration and licensing data processes.
• Familiarity with SEC Bluesheets reporting requirements and data complexities.
• Understanding of MSRB rules and municipal securities compliance obligations.
• Exposure to broker-dealer operations , trading systems, or regulatory reporting solutions.
• Strong grasp of trade lifecycle data and reporting workflows.
• Excellent communication skills with the ability to translate regulatory complexity into clear, actionable insights for both technical and non-technical stakeholders.
• Proven stakeholder management and cross-functional collaboration skills; comfortable operating in a fast-paced, startup environment .

Nice to Have:

• Experience with regulatory engines or trade reporting automation tools .
• Background in product development or working closely with product teams in a regulated environment.

Job Title: SEC and FINRA Compliance Specialist

About the Role:

We are seeking a highly energetic, skilled, and experienced SEC and FINRA Specialist to join our platform. This individual will serve as the in-house compliance expert and subject matter expert (SME), ensuring our software and services are fully aligned with U.S. securities regulations and industry standards. You will play a critical role in enabling clients to rely on our technology for accurate and compliant regulatory reporting.

Key Responsibilities:

• Serve as the SME on SEC and FINRA trade reporting requirements , including CAT, CAIS, Bluesheets, and MSRB.
• Collaborate closely with Product and Engineering teams to ensure regulatory rules are accurately implemented in our transaction reporting platform, En:ACT.
• Monitor ongoing regulatory developments and assess their impact on product features and client obligations.
• Provide client support during regulatory onboarding, audits, and issue resolution related to trade reporting.
• Ensure data accuracy and completeness across CAT, CAIS, and Bluesheets submissions through thorough validation and QA processes.
• Work in tandem with the transactional reporting Advisory team , offering clear and actionable compliance insights in a client-centric manner.
• Assist with ad hoc regulatory challenges from clients relating to reporting regimes.
• Contribute to the creation of regulatory documentation , user guides, and internal training materials to strengthen compliance awareness across teams.

Key Skills & Qualifications:

Essential Requirements:

• 3–5 years of experience in Regulatory Technology or within the financial services industry.
• Deep knowledge of CAT/CAIS reporting and SEC trade lifecycle requirements.
• Experience with FINRA CAIS registration and licensing data processes.
• Familiarity with SEC Bluesheets reporting requirements and data complexities.
• Understanding of MSRB rules and municipal securities compliance obligations.
• Exposure to broker-dealer operations , trading systems, or regulatory reporting solutions.
• Strong grasp of trade lifecycle data and reporting workflows.
• Excellent communication skills with the ability to translate regulatory complexity into clear, actionable insights for both technical and non-technical stakeholders.
• Proven stakeholder management and cross-functional collaboration skills; comfortable operating in a fast-paced, startup environment .

Nice to Have:

• Experience with regulatory engines or trade reporting automation tools .
• Background in product development or working closely with product teams in a regulated environment.

Title: Regulatory Affairs  Compliance Specialist
Location: UK hybrid or Remote in UK
Position: Permanent Full-time

About Petlab Co

PetLab Co. is the world’s fastest-growing pet supplement business. Launching in 2018, we successfully achieved a 9-figure revenue in 2022 without any external funding. We have a loyal community of loving pet parents and over 1.5 million happy dogs whose lives have been positively impacted by our innovative products. Our team is vibrant, fast-moving, and customer-driven where high-performers are valued and rewarded. And it is the ideal place for an ambitious, hardworking, animal lover who wants to progress their career rapidly.

A Day In The Life…

Our Compliance Director is looking for a hard-working, highly driven, and passionate Regulatory Affairs Compliance Specialist to join the team. This role would be suitable for someone who is very meticulous with excellent time management skills and enjoys working both autonomously and as part of a growing team. We are growing incredibly fast and that’s why we need an extra pair of hands-on deck to provide a great service to the business and to our customers.

Marketing plays a pivotal part in our business and a primary function of this role would be to review and approve marketing content in accord with regulatory requirements in a timely fashion, therefore making it crucial to our growth! We move and think fast so it’s important that you can thrive in a fast-paced environment and are happy to roll up your sleeves to do whatever it takes to support the team in every way possible. If that sounds exciting - we would love you to join our pack!

Your day to day will look a little bit like this…

• Review marketing content to ensure relevant compliance requirements are met
• Support product registrations in various countries/states
• Support the planning and execution of product trials and regulatory inspections
• Keep up to date with changes in regulatory legislation and guidelines
• Assist with implementing requirements for labelling, storage and packaging
• Assist with regulatory review of product labels and other claims
• Liaise with regulatory authorities
• Assist with the internal complaints process; reporting and advising accordingly
• Support the Quality team with implementing the HACCP policy and other Quality requirements
• Review claims substantiation
• Build and maintain a knowledge database - appropriately storing, keeping track and disseminating information within the team
• Ensure maintenance of regulatory databases and trackers
• Assist with upcoming expansions into new markets and product categories
• Study key scientific and legal regulatory documents relating to new and existing products
• Cooperate with the New Product Development team and the Quality team in order to assist with timely product launches
• Support with the claim’s substantiation process
• Research potential risks in relation to both new and existing products; reporting and advising accordingly

Requirements

What You Need…

• 2 -3 years proven experience in a Regulatory/ Compliance environment – (Food, Pharma, Animal feed or supplement sector would be highly advantageous)
• Previous experience working with regulatory agencies advantageous
• Knowledge of Product Compliance (Labels, Creatives, Social media, blogs)
• Strong communication and organisational skills
• Drive to make things happen, using initiative and logic - a true 'self-starter'
• Demonstrate strong attention to detail, collaborative, consultative, with excellent problem-solving and communication skills
• Team player with the ability to work autonomously
• Strong knowledge of Microsoft Office and a willingness to learn additional software on the job
• Ability to Multitask: ability to switch tasks smoothly, managing stress levels effectively in fast-paced situations.
• Great Organisation skills: planning ahead, always well prepared for meetings, while seeking to maximise time and productivity
• Accountability: committed to follow-through, owning their work, and taking corrective action where necessary.
• Adaptability: maintains flexibility in response to changing priorities with a positive attitude.
• Resourcefulness: when presented with a challenge proactively finds solutions to present to the team, demonstrating a proactive approach is extremely important.
• Strong time management: understanding hard and soft deadlines, timely communication, and respecting others' schedules.
• Team player: working well within a team environment, while making sure the team is effective across the board.

Benefits

•  Private Health Care  through Vitality
• Generous Annual Leave  - 28 days + public and bank holidays
• – Employee Assistance Programme
• Royal London Pension Scheme  – We offer a workplace pension scheme with one of the UK’s leading providers of group pensions. With an employer contribution of 5%!
• Enhanced Maternity / Paternity / Adoption Leave  – because time with new family members is important!
• Nursery Salary Sacrifice Scheme
• Generous Learning and development budget –  We always want you to keep learning.
•  Puppy Therapy  – working in partnership with Paws in Work to provide a boost of oxytocin twice a year.
•  Generous Learning and development budget –  We always want you to keep learning.
• Free breakfast, fruits and snacks  – refuel and revitalise with free munchies in the office.
• Working Environment  – dogs are welcome!
• Life Assurance  – In the event of your death, while employed by us, your chosen beneficiaries will be provided with a tax-free lump sum equivalent of four times your basic salary.
•  Discount Vouchers & Gym Memberships –  get discounts at a whole range of retailers and gym memberships through our provider, Sodexo.
• Electric Vehicle Scheme  – Employees sacrifice salary in return for a new electric car, typically saving 30-40% of costs through income and tax and national insurance.
• Give Back Day  – An extra day off in the year to volunteer plus a £50 contribution to your chosen charity.
• Health Cash Benefit  – We offer the bronze package with enables you to claim a certain amount of cashback when you pay for something that is health related, i.e dental

Petlab Co is an equal opportunity employer that is committed to diversity and inclusion. We encourage all applications irrespective of gender, race, sexual orientation, religion, age, nationality, marital status, and disability. We believe that diversity is at the heart of innovation and we welcome passionate candidates from all backgrounds. Come join the family and see for yourself!

WSR are recruiting for a Regulatory Compliance Officer for our reputable client based in London.

Job Title: Regulatory Compliance Officer
Role Type: Permanent Part Time – Around 18 hours per week.
Salary: £43k – £5k pro rata for part time hours + ,(Apply online only) location allowance + excellent benefits
Location: Central London base with flexible hybrid working

Are you someone who thrives on solving complex problems, guiding others through tricky regulations, and making sure sensitive data is handled the right way? If that sounds like you, this role could be the perfect next step in your career.

We're looking for a Regulatory Compliance Officer  to join a team that deals with some of the most interesting – and sometimes challenging – data protection and information rights issues out there. You’ll play a key role in helping colleagues and stakeholders navigate legislation like FOI, GDPR , and the Data Protection Act , all in an environment where security and precision really matter.

Regulatory Compliance Officer  Role Overview:

You’ll be the go-to expert for all things compliance and information rights. That means offering practical advice on things like how to respond to FOI requests, handle ICO complaints, or interpret new guidance or case law. No two days will be the same, and every situation will need a careful, thoughtful approach – but that’s what makes this work so rewarding.

You’ll use your knowledge and judgment to make sure colleagues get clear, accurate advice tailored to the situation at hand. And because this is a space that changes quickly, you’ll help keep the wider team up to speed on legal updates and emerging issues.

Regulatory Compliance Officer Experience, Qualifications and Attributes:

• Strong experience with information rights legislation – and ideally, a practitioner-level certificate in data protection or information governance.
• People skills - You’ll need to explain complex rules in a way that makes sense, and know how to build trust with stakeholders from all kinds of backgrounds
• An interest in central government or public sector work would be beneficial but most of all, we’re after someone who’s confident, adaptable, and cares about getting things right.

Regulatory Compliance Officer  Benefits:

• You’ll be part of a supportive, down-to-earth team that shares knowledge, celebrates wins, and helps each other grow.
• London location allowance
• Civil Service Pension
• Generous annual leave
• Access to training and development
• Hybrid working options for better work/life balance
• You'll be part of a workplace that genuinely values diversity, inclusion , and wellbeing – because when you’re supported, you can do your best work!

 
A quick note on security

Because of the nature of the work, everyone in this role needs to go through Developed Vetting (DV) . If you don’t already hold that level of clearance, our client will guide you through the process once your application is successful.

Please click ‘APPLY NOW’, or call the WSR Team at for more info. We appreciate the time and effort invested in your application.

While we strive to respond to all applicants promptly, we kindly ask for your understanding in case of delays. If you do not hear from us within 10 days of submitting your application, please assume that, unfortunately, you have not been successful this time.

We will however keep your CV on file and review your suitability against any other vacancies we may have available.

WSR are recruiting for a Regulatory Compliance Officer for our reputable client based in London.

Job Title: Regulatory Compliance Officer
Role Type: Permanent Part Time – Around 18 hours per week.
Salary: £43k – £5k pro rata for part time hours + ,(Apply online only) location allowance + excellent benefits
Location: Central London base with flexible hybrid working

Are you someone who thrives on solving complex problems, guiding others through tricky regulations, and making sure sensitive data is handled the right way? If that sounds like you, this role could be the perfect next step in your career.

We're looking for a Regulatory Compliance Officer  to join a team that deals with some of the most interesting – and sometimes challenging – data protection and information rights issues out there. You’ll play a key role in helping colleagues and stakeholders navigate legislation like FOI, GDPR , and the Data Protection Act , all in an environment where security and precision really matter.

Regulatory Compliance Officer  Role Overview:

You’ll be the go-to expert for all things compliance and information rights. That means offering practical advice on things like how to respond to FOI requests, handle ICO complaints, or interpret new guidance or case law. No two days will be the same, and every situation will need a careful, thoughtful approach – but that’s what makes this work so rewarding.

You’ll use your knowledge and judgment to make sure colleagues get clear, accurate advice tailored to the situation at hand. And because this is a space that changes quickly, you’ll help keep the wider team up to speed on legal updates and emerging issues.

Regulatory Compliance Officer Experience, Qualifications and Attributes:

• Strong experience with information rights legislation – and ideally, a practitioner-level certificate in data protection or information governance.
• People skills - You’ll need to explain complex rules in a way that makes sense, and know how to build trust with stakeholders from all kinds of backgrounds
• An interest in central government or public sector work would be beneficial but most of all, we’re after someone who’s confident, adaptable, and cares about getting things right.

Regulatory Compliance Officer  Benefits:

• You’ll be part of a supportive, down-to-earth team that shares knowledge, celebrates wins, and helps each other grow.
• London location allowance
• Civil Service Pension
• Generous annual leave
• Access to training and development
• Hybrid working options for better work/life balance
• You'll be part of a workplace that genuinely values diversity, inclusion , and wellbeing – because when you’re supported, you can do your best work!

 
A quick note on security

Because of the nature of the work, everyone in this role needs to go through Developed Vetting (DV) . If you don’t already hold that level of clearance, our client will guide you through the process once your application is successful.

Please click ‘APPLY NOW’, or call the WSR Team at for more info. We appreciate the time and effort invested in your application.

While we strive to respond to all applicants promptly, we kindly ask for your understanding in case of delays. If you do not hear from us within 10 days of submitting your application, please assume that, unfortunately, you have not been successful this time.

We will however keep your CV on file and review your suitability against any other vacancies we may have available.

• Horizon-scanning to detect and track emerging regulatory requirements.
• Interpreting emerging regulatory requirements and advising stakeholders on their potential impact and associated control requirements.
• Developing and maintaining relationships with stakeholders across TP ICAP, including the EMEA COO, the EMEA Head of Venues and Market Infrastructure, and Legal.
• Interacting with trade associations, exchanges and regulators as required, including representing TP ICAP at industry or regulatory meetings.
• Representing EMEA Compliance in internal governance meetings, such as the Regulatory Change Oversight Meeting, and in subsequent regulatory implementation projects.
• Creating and delivering training materials on regulatory requirements.
• Reviewing and drafting policies and procedures to comply with relevant regulatory requirements.
• Performing ad-hoc reviews and investigations in to TP ICAP’s adherence to its regulatory requirements.
• Supporting applications for new/amended regulatory permissions as required.
• Review output from the Compliance Monitoring Programme and implement remedial actions.
• Project work as required from time to time.
• Fulfil additional / ad hoc duties as required to meet the needs of the business and the EMEA Compliance function.
  
  

• Good working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations e.g. MiFID II and SMCR etc.
• Previous experience analysing wholesale market regulations and assessing their impact.
• Excellent communication skills, both verbal and written.
• Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.
• Able to work well with diverse groups and personalities.
• A bachelor’s degree or a period of work experience demonstrating equivalent ability.
  
  

• Prior experience at a regulator or government agency in drafting or reviewing financial services policy.
• Prior experience in a compliance role at another Financial Services firm.
• Knowledge of specific execution methodologies e.g. Name Give Up, Matched Principal, Exchange Give Up.
  
  

Regulatory and Compliance Manager - Procurement

Hybrid - Birchwood

Full-time, permanent

About the Client
Please double check you have the right level of experience and qualifications by reading the full overview of this opportunity below.
Our client is a trusted procurement partner, combining strategic expertise with innovative technology to help organisations optimise their spending and deliver sustainable value. At the core of our mission is a commitment to making a positive impact on people's lives.

They provide procurement consul
Please click on the apply button to read the full job description

At Raytec, we design and manufacture world-leading LED lighting solutions, with a strong commitment to sustainability and responsible manufacturing. We are seeking a detail-oriented and proactive Regulatory Compliance Engineer to ensure our products and supply chains comply with international environmental regulations and support our sustainability goals.

You will play a key role in ensuring compliance with regulations such as REACH, RoHS, SCIP, and Proposition 65, working closely with suppliers, design, and commercial teams.

Purpose of the Job:

• Promote the company’s sustainability goals by ensuring environmental compliance across our products and supply chain
• Ensure compliance with international environmental directives - both in our finished products and through our supply chain
• Manage Materials and Substances data, maintain internal compliance databases and coordinate environmental testing.
• Cross functional collaboration with R&D, Purchasing and Commercial teams to integrate environmental compliance into product design, development and procurement.

Location

The role of Regulatory Compliance Engineer requires working from our office in Ashington Mon – Fri.

Reporting to:

Reporting to the Head of Quality

Main Duties & Responsibilities:

Regulatory Monitoring and Reporting

• Monitor and interpret changes to environmental regulations and standards impacting product materials, recyclability and energy consumption in key markets (EU, UK, US, Canada, etc.).
• Draft, issue, and maintain up-to-date product compliance statements for customers and regulatory bodies.
• Prepare and submit SCIP notifications in the ECHA database, ensuring accuracy of content.
• Supplier Engagement and Data Collection Coordinate the collection and validation of supplier declarations for substances of concern, restricted substances, and POPs (PFAS, REACH SVHC, RoHS).
• Liaise with suppliers globally to obtain declarations of conformity, full material disclosures, and supporting technical documentation.
• Maintain up-to-date CMRT and EMRT reporting in line with OECD due diligence guidance and RMI (Responsible Minerals Initiative) requirements.

Testing, Analysis and Documentation

• Evaluate components and materials against restricted substances list.
• Review material and component specifications to identify and mitigate regulatory compliance risks.
• Coordinate environmental testing, lifecycle analysis and impact assessments when required.
• Develop and maintain internal compliance databases and document control systems.

Internal Support & Training

• Provide technical support to R&D, commercial and purchasing teams on regulatory matters and customer compliance inquiries.
• Support internal audits and external certification processes related to material compliance and supply chain transparency.
• Support customer inquiries and audits related to environmental compliance.
• Deliver training and raise awareness of environmental regulations and best practices within the organisation

Benefits:

Raytec offer a generous salary and benefits package to our employees, these include:

· Attractive Bonus Scheme Health care scheme

· Company Stakeholder Pension

· The Raytec Employee Club (TREC) which hosts regular social events, sports activities and parties

· 25 days holiday, up to 30 with long service, plus bank holidays

· Mon - Thu 830-5, Fri 830-2 - Early finish on a Friday !

· Free coffee, tea, filtered water and fruit

· Free onsite monthly catering

· Long service incentives and rewards

· Cycle to work scheme

· Closed between Christmas and New Year (taken from annual holiday entitlement)

· Discounted leisure centre membership

Personal Spec:

Raytec pride ourselves on our core values and expect our employees to do the same:

Expertise: We strive to be experts in our field. We use our knowledge and experience to deliver outstanding products and customer service.

Initiative: We’re not content with standing still. We push boundaries and improve how we do things on a daily basis.

Integrity: We’re honest, approachable, and open to change. We set high standards and take pride in the work we do.

Essential:

• Experience in a compliance, quality, or regulatory role within a manufacturing or product-based environment.
• Working knowledge of product lifecycle and material disclosure requirements.
• Experience engaging with suppliers to gather compliance data and declarations.
• Advanced Excel or database skills.
• Strong knowledge of international product environmental regulations, including REACH, RoHS, TSCA, SCIP, Proposition 65, EU POPs, and conflict minerals (CMRT/EMRT).
• Excellent data management, document control, and recordkeeping skills.
• Strong written and verbal communication skills, with the ability to interact effectively with internal teams, suppliers and customers.
• Detail-oriented with strong analytical and problem-solving abilities.
• Familiarity with regulatory submission portals such as ECHA, SCIP and supply chain platforms like Assent, BOM check, or similar.
• Understanding of Bill of Materials (BOMs) and component level analysis.
• Ability to work independently and manage multiple concurrent projects.
• A good understanding of CBAM regulations.

Desirable:

• Familiarity with ERP systems.
• Experience with lifecycle analysis or sustainability reporting

About Raytec

Founded in 2005, Raytec are world leaders in LED lighting for safety and security. We have over half a million products actively in service and employ over 80 staff. We have two offices located in Northumberland, UK, and Ottawa, Canada and sell to over 70 countries worldwide. All our products are manufactured in-house and have been installed in some of the most challenging environments on planet earth from the Arctic Circle to the Jungles of Borneo. Raytec are a global business that operates without leaving a footprint on our planet.

My client, a London based insurance company who are looking to strengthen their compliance team with the addition of 2 compliance professionals.

The broad remit of the role is to provide compliance oversight across the business by testing the effectiveness of regulatory controls, risk management and governance processes.

This is a highly visible role within the organisation and as such we seek someone career minded who can join the team with a determination to succeed and impress.

The key responsibilities include:

• Simultaneously managing multiple assessment projects across all lifecycle stages (planning, testing, reporting, follow-up) using project and time management methods, ensuring timely delivery and quality with minimal supervision.
• Independently identifying and assessing risk, Identifying key controls within a process, designing internal controls and repeatable test plans.
• Conducting independent testing and validation of key controls to ensure they are well-designed and working effectively to reduce risks and provide good customer.

The successful applicant will have a thorough and detailed understanding of risk and controls. They will have robust report writing skills as well as exemplary time management as reports are submitted on a quarterly basis and without delay and so commitment to the timings are important.

The role would suit someone who has worked as an internal auditor or internal controls professional within financial services, who is keen to move to a second line role.

Relationship management is a critical part of the role and so previous experience in leading and managing stakeholders previously is imperative.

The team work in a hybrid manner with 2-3 days in the City of London offices.

c£65-70k base + benefits and bonus potential.

For more information, please email your CV to

Please note that this client will not offer sponsorship. Applicants must have full right to work in the UK.