Regulatory Compliance Manager

London (Central), London (Greater)
07 Jul 2017
04 Aug 2017
Contract Type
Full Time

A leading Global Financial Institution is seeking to employ a Regulatory Compliance Manager, US Regulatory Compliance Specialist, based in London

Hours 35 per week/permanent.

Competitive salary offered.

The role holder will work closely with the business to provide compliance technical expertise in the advisory support. They will be expected to provide compliance coverage at the earliest opportunity to enable the business to ascertain the most appropriate structures, controls and procedures from a regulatory and regulator expectation perspective.

The role holder will advise on aspects of the Markets businesses in order that the Head of markets Regulatory Compliance (RC) can ensure that the business is structured and conducted in accordance with all current and future US laws, rules, regulations and codes of practice impacting the EMEA business. In addition, they will need to work with the business on high profile strategic projects to ensure that the regulatory demands of those projects are met.

The role holder will also work within a team of advisory compliance officers (covering EU, US and other requirements impacting EU businesses), to provide advice and support directly to the business, and to the other stakeholders set out above.  They will liaise with auditors, business risk and monitoring teams, and other areas of Regulatory Compliance and the organisation in relation to the implementation of projects (post-implementation).

The individual will work within the Operational Risk parameters of GBM Regulatory Compliance and keep up to date with requirements impacting the Markets business, with a particular focus on US regulations under the Dodd-Frank Act. They will liaise with other business, compliance, legal, Regulatory Affairs and Policy and support services stakeholders to ensure appropriate coverage of existing and new requirements, and also provide Regulatory Compliance support and expertise to other business units within GBM when required to do so.

The successful candidate will be a graduate and will have the following:

Experience advising and preparing stakeholders in response to regulatory requests, enquiries, and investigations conducted by US regulators.

Experience in internal reviews and investigations of potential breaches or violations to US regulations or statutes of securities and derivatives.

Ambition to enhance regulatory and compliance knowledge and skills in a rapidly changing and dynamic environment.

Good drafting, advisory, technical and presentation skills with the ability to simplify

Sound judgment and proactivity

Experience of US regulatory environment and expectations

Quick learner and/ or ability to interact with internal stakeholders, trade bodies and other industry participants

Ability to assist in taking new changes implemented by colleagues into a business as usual framework and to support the process

Closing date for applications: 4th August 2017

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