Compliance Manager – Up to 82K plus bonus and benefits

  • Up to 82K - Plus Bonus and Benefits
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Radley James
  • 11 sept. 17

My Client, a tier 1 Investment Bank is looking to hire a Regulatory and Compliance Manager to join the Regulatory Oversight department. This is becoming part of Chief Operating Officer’s (COO) Divisional Control and Regulatory Office (DCRO).

The Divisional Control and Regulatory Office is a dedicated risk, control and regulatory oversight function with prime responsibility for managing and proactively mitigating risk across the full breadth of the COO organisation.  We are looking for a candidate with previous experience in regulatory oversight, assurance, legal or risk and control roles with functional coverage within financial services, as well as experience in stakeholder management.  

Key Responsibilities:

  • Collating and publishing updates on new and changing regulatory rules and regulations pertaining to the COO division as sourced from Second Line of Defence (2LoD) groups including Group Regulatory Affairs, Compliance Regulatory Change and from the market initiatives leads 
  • Working with Legal and Compliance, determine the applicability of each new or changing regulation through an interpretation of requirements
  • Co-ordinating the output and co-ordinating, tracking and reporting the subsequent impacting assessment performed by COO
  • Creating and maintaining an inventory of the current rules and regulations affecting COO
  • Supporting the COO Executive Committee and Regulatory Leads in maintaining a forward looking horizon of new and changed regulation with high level interpretation and impacts
  • Maintaining an inventory of current rules impacting COO, tracking and reporting regulatory rule, risk and control assessment findings and remediation activities
  • Working with the DCRO risk and control assessment teams to advise on the regulatory aspects of assessments, quality assure results and support the risk based prioritisation of the book of work
  • Validating and challenging COO and Chief Information Office (CIO) line attestations for regulatory adherence
  • Ensuring the accurate and complete maintenance of the COO inventory of regulatory reports , conducting report rule and risk assessments and supporting annual certification with the COO line

Skills and Qualifications:

  • Previous experience in regulatory oversight, assurance, legal or risk & control roles with functional coverage within financial services
  • Established in regulatory interpretation with a history of working with key stakeholders in the 1st and 2nd lines to understand and practically translate the implications of rules in a banking environment
  • A basic understanding of transaction reporting requirements of the Markets in Financial Instruments Directive (MiFID2), European Market Infrastructure Regulation (EMIR) and Bank of England reporting requirements beneficial
  • A proficient understanding of the product types and characteristics traded by the business divisions
  • Previous experience in stakeholder management
  • Demonstrable analytical and data interpretation skills with an appetite for creative problem resolution and gap analysis
  • Educated to Bachelor degree level or equivalent qualifications

If you are interested in applying for this position, please email your CV to