Compliance Consultant - Capital Markets - c.£50,000 Compliance Consultant - Capital Markets -  …

Holmes Search
in London, England, United Kingdom
Permanent, Full time
Last application, 09 Apr 20
Holmes Search
in London, England, United Kingdom
Permanent, Full time
Last application, 09 Apr 20
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Posted by:
Posted by:
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A great opportunity to work in a varied client-facing compliance role at a big 4 consultancy with amazing career progression in their capital markets compliance team.

Understanding the Regulatory and Business landscape.  Influencing change. Helping our clients navigate through each new complexity. This is how we bring value to our clients every day. The world of Risk and Regulation is changing, join us on the journey and be part of creating a new and relevant Financial Services industry.

We support our clients with managing non-financial risk. To continue to excel in this we are strengthening our Financial Services Risk & Regulation practice as our clients across Banking & Capital Markets continue to face new challenges given significant shifts in the regulatory and business environment.
Our clients consist of large global investment banks, mid-tier banks and new start up banks looking for support with regulatory authorisations and set-up.

Our team are self-starting, agile and thrive on bringing past experiences to new and diverse challenges. They are happy to work as individuals or as part of multi-disciplinary teams to provide hands on, client-facing services to our clients in the capital markets area, primarily large global banks, on regulatory change and remediation, governance risk and controls as well as critical business change. These services can be in the form of regulatory/consulting advice, implementation support or controls review and recommend reports.  We work with Front Office, Risk, Operations and Finance functions, often cross-functionally in supporting them with large business and regulatory change programmes and with enhancing their governance, controls and risk frameworks.
Below are some of the types of work you could be involved in:

Advice & implementation responding to conduct regulation – regulatory advice, regulatory implementation support, regulatory assurance services e.g. MIFID II, transaction reporting, margin regulation, benchmark regulation etc
Governance, risk & control e.g. embedding senior manager regime, front office supervision and control (benchmark, algorithmic trading controls, trader supervision, order execution etc), model risk management, control framework optimisation, compliance risk management and testing, front to back control design and/or remediation, risk and control reporting and MI
Supporting our clients with business change e.g. Brexit planning and support
Helping banks with their regulatory authorisation and licensing



Contributing to development of business proposals
Supporting on delivery of a Banking and Capital Markets client delivery portfolio reporting to the Manager Group
Delivering allocated work-streams on business and regulatory change programmes under the review of a manager
Managing and building day-to-day client relationships across a network of stakeholders internally and at clients
Managing junior staff and taking on coaching responsibilities

The role will provide you with experience of working with major banking and capital market clients, where you can demonstrate your understanding of regulatory requirements, governance and controls and approaches to project and programme delivery.

Role requirements
Essential skills:

3 yrs+ experience of working within established professional services/consulting organisations or banks specifically focussed on regulatory/business change and/or front to back trading governance, risk and controls.
A proven track record of successfully supporting work-streams within change/client engagements
Strong client relationship, stakeholder management and inter-personal skills, with a good track record of dealing with stakeholders
Good commercial awareness, sound reporting skills and the ability to work under your own initiative
Strong oral and written communication skills (ie report writing)
The ability to apply good judgement during engagements and to support conclusions reached to more senior level personnel both internally and externally
Very strong attention to detail
Strong power-point skills
Agility – an interest in working in a dynamic environment and on different types of projects in the capital markets arena

Desirable skills:

Ability to work  under pressure within an ambiguous environment
Relevant qualification – ACA, CFA etc