Compliance Manager / Advisory

  • Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Empiric , EA Licence No: 11C5671
  • 16 May 18 2018-05-16

An excellent opportunity for a compliance manager has arisen at a leading financial services organisation based in London. This is a VP level role and as such the successful candidate would need to possess significant experience in a relevant compliance or regulatory role. Ideally the preferred candidate would have Clearing experience gained either through an Investment Bank, CCP or Regulator.


  • Regulatory liaison – assisting in managing the relationship with various regulatory authorities as appropriate.
  • External Compliance – keeping track of all incoming regulatory requests to the firm and ensuring they are logged, followed up, and responded to by the team and/or wider organization in an appropriate and timely manner. This also includes drafting and managing the process for regular annual regulatory submissions.
  • Internal Compliance – working with the firm’s Compliance Monitoring team to ensure processes and procedures have clear and well established controls and are assessed as compliant on an ongoing basis. The role also envisages assisting the administering of appropriate compliance policies and procedures, and ensuring appropriate internal reporting to management and the board.
  • Advisory – advising and assisting management and employees responsible for carrying out the services and activities offered whilst complying with relevant regulatory requirements.
  • Regulatory Policy – assisting with the tracking and engagement on specific policy files, including through engagement with relevant industry associations.
  • Data Protection Officer ensuring internal and external compliance with regard to the GDPR obligations.


  • You should have significant experience in a relevant compliance or regulatory role, including dealing directly with regulatory authorities.
  • You should be able to evidence strong knowledge and experience of the clearing and post-trade process, and the regulatory environment(s) applicable to it – in particular, EMIR.
  • Knowledge and understanding of the forward looking regulatory policy agenda for CCPs.
  • Knowledge of privacy regulations and legal requirements such as GDPR that impact the firm – and an ability to translate into practical policy requirements.

Please only apply if you have the above experience.