Regulatory Compliance Manager

Michael Page Financial Services
London, UK
15 Sep 2019
19 Sep 2019
Contract Type
Full Time
Investment Wrap Platform


Maintaining detailed awareness of regulatory developments, and changes in the wider financial marketplace, so as to provide expert advice to the business on applicable rules and regulations and strategic compliance guidance on complex regulatory queries.

Providing advice and support on other regulatory projects to teams across Compliance.

Support the Compliance leadership team to maintain sound and robust arrangements for providing advice to the Group on applicable FCA, PRA.

Actively review and assess the impact of regulatory developments affecting the Group and contribute to production of the monthly bulletin, support responses to consultations and assist in implementing necessary changes to policies, procedures, processes and systems.

Assisting the General Counsel and Senior Manager regulator relations to manage the Group's relationship with the PRA and FCA.

As needed, deputising for Senior Compliance Manager, Regulatory Liaison generally and in times of absence and by providing day to day support and guidance for team members.

Preparing and delivering presentations on relevant subjects to both senior management of the Group, and to external audiences as needed.

Leading on delivering various regulatory reports and responses to regulators.

Advising on and support thematic and data requests and regulator visits as needed.

Overseeing and provide direction to other team members work as needed, with particular responsibility for secondees to the team, and the Compliance Administrator, Regulatory Liaison.

Contribute towards relevant internal and external consultations, discussions and policy debates and, as needed, represent the Group at industry working groups and trade associations.


In-depth practical knowledge and understanding of financial services law and regulation impacting activities in the UK and the ability to apply, EU regulation, FCA and PRA rules and guidance particularly those relating to MiFID, MAR, SYSC, COBS, DISP, SUP, and Conduct Risk

Educated to Degree Level, or equivalent experience

Professional legal qualification desirable

Job Offer

Competitive package on offer

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