Compliance Regulatory Advisor - Financial Services - London

Job Title: Compliance Regulatory Advisor - Financial Services - London
Contract Type: Permanent
Location: London, England
Salary: £90000.00 - £110000.00 per annum
Reference: BBBH21751_1563899826
Contact Name: Anna Dunne
Contact Email:
Job Published: July 23, 2019 17:37

Job Description

A global Capital Markets business is seeking an experienced Regulatory Advisor. This is a unique opportunity within their compliance function reporting to the Chief Compliance Officer.

Role description

  • The job holder will act as the Compliance business partner for one or more business lines, supporting the Head of that business in their relationships with regulators and guiding staff as to regulatory requirements. They will also be heavily involved in some major initiatives / projects.

Role Responsibilities

  • Manage the relationship with regulators and central banks in relation to the relevant services. Ensure the flow of information between the firm and the authorities (including responses to regulators' questions) meets regulatory requirements/expectations and supports the development of the firms products to meet client needs
  • Provide ongoing Compliance advisory support and guidance to the relevant service, including the interpretation of current/proposed regulations and known regulatory expectations
  • Prepare submissions to regulators to obtain necessary permissions or approvals for new services and products, and coordinate engagement with regulators throughout the process
  • Support the development and implementation of the framework for monitoring and reviewing ongoing compliance with EMIR, CFTC regulations and other relevant regulations
  • Make sure the relevant business areas or function contributes appropriately to this work and carries out the work necessary to remediate non-compliant areas, such as breaches of regulations or internal policies
  • Build relationships with stakeholders in the relevant business areas and with key regulatory contacts

Role Requirements

  • Compliance experience within an international financial market participant, (preferably with personal experience of representing to regulators) or at a relevant regulator
  • Relevant tertiary qualification or equivalent work experience
  • Strong written and verbal communication skills and ability to adapt them to suit the situation
  • Proven ability to build and maintain mutual relationship with senior corporate, regulatory and government personnel and organisations
  • Technical understanding of EU and/or US regulations applying to CCPs, or evidence of ability in a related area such as markets, infrastructure or derivatives regulation
  • Highly advantageous to have in-depth knowledge of the derivative products