Compliance Director - Regulatory Change / Regulatory Advisory

Job Title: Compliance Director - Regulatory Change / Regulatory Advisory
Contract Type: Permanent
Location: London
Salary: Negotiable
Reference: BBBH13550
Contact Name: Tom Warren
Contact Email:
Job Published: January 03, 2017 14:15

Job Description


This Top Tier Bank is one of the largest financial institutions in the world, with a strong presence in Retail Banking, Private Banking, Corporate Banking and Investment Banking activities. Despite its size, the Compliance function has held on to its excellent culture, having built up a robust function due to strong endorsement from senior leadership. Attrition is low and staff satisfaction high. Given the investment being made into the Compliance department you will gain unrivalled exposure to complex Compliance matters, offering you strong professional development opportunities.


You will position yourself as a Compliance subject matter expert for impact of many regulations, particularly from the US.

Following your analysis, you will provide direction and Compliance support for Regulatory Change activities across the entire Group, with a Global remit.

Specifically this will involve:

  • Part of a global team that provides direction and support on the regulatory change activities across global business lines within the second line of defence.
  • Vital link globally between colleagues and various stakeholders to advise on new US laws and regulations as part of a regulatory change implementation project and ensuring a smooth handover at implementation stage
  • Provide pragmatic and effective solutions based on their SME US regulatory rules knowledge that assist the Business/ Function to understand the regulatory requirements arising from new US regulations and also the potential impact across the business
  • Drafting and providing training on new US regulatory requirements as part of a regulatory change initiative across the business
  • Drafting business and regulatory compliance communications and advice on new US laws and regulations impacting the business
  • Providing regulatory change support to product-specific Compliance officers
  • Monitor program and project activity related to the implementation of US regulations by attending relevant working groups / committees in relation to US regulatory change projects to ensure that the regulatory demands of those projects are met. Provide ongoing updates to Compliance Management on the developments of such projects and escalate regulatory/compliance risks as appropriate.


You will need to have some foundation knowledge in US regulation to carry out this role, however you will not be expected to walk in as an expert.

If you have experience in the below then you will be in contention for this role:

  • Understanding of the US regulations
  • Regulatory Advisory, Change or Development experience
  • Would consider Compliance Advisory or Legal candidates who have had exposure to US regulations even if you don't have Regulatory Change/Development experience
  • Ability to identify key issues and either advise on them or source suitable advice within and outside the firm
  • Excellent analytical and communication skills, in particular good drafting skills and ability to present complex issues to mixed specialist and non-specialist audiences
  • Experience of advising large firm-wide regulatory change programmes highly desirable
  • Excellent influencing and communication skills
  • Degree educated with extensive experience of working in an investment bank or asset management

Please apply using the link to have your CV forwarded to Tom Warren, Senior Consultant | Compliance, at Twenty Recruitment.

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