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Regulatory Compliance Consultant - Capital Markets

  • Location: City of London
  • Salary: £35,000 - £45,000 per year
  • Job Type:Permanent

Posted about 2 months ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email:
  • Contact Phone: 02036371600
  • Expiry Date: 31 January 2022
  • Job Ref: EM/17415

A great opportunity for a Capital Markets Associate to work for an independent, specialist financial services regulatory consultancy with a global offering who due to continued growth currently have an opening within the team. This role is based within the Capital Markets teamwho deliver specialist advice on detailed regulatory requirements through to delivering complex regulatory implementation projects. The clients range from Regulated Markets, CCPs, CSDs, MTF/OTFs, Investment Banks to specialist Brokers, in which the business helps clients deal with the challenge of market focussed regulation, including EMIR, MiFID II and MAR.

Key responsibilities include:

  • Demonstrable compliance experience in a trading venue, Investment Bank or legal or another professional services company.

  • Demonstrate deep understanding of both the business issues in this sector across a range of asset classes, as well as the key regulatory challenges faced including EMIR, MiFID II and MAR

  • Familiarity with the key aspects of EU rules and the FCA handbook is critical

  • Advise and support clients on a wide range of regulatory compliance matters. This may include: drafting and maintaining policies, procedures and compliance monitoring programmes, developing training materials and assisting in delivering training sessions, assisting with regulatory matters including authorisation applications and variations of permission

Qualifications and Experience required:

  • Relevant, Diploma level professional qualification (investment or compliance-related), or willing to study towards

  • Educated to degree level

  • Significant compliance-related experience gained in a trading venue, investment bank, financial institution, legal practice, consultancy and/or the regulator

  • Proven track record of exceeding financial goals and sales targets; consulting experience would be advantageous

  • Deep understanding of the FCA’s policies and procedures

  • Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients

  • Experience managing client relationships

  • Excellent Microsoft Office skills and experience using a CRM system would be an advantage