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Compliance Advisory

Posted 6 March by Goodman Masson Easy Apply Ended

Compliance Advisory - Regulatory Change

A major Investment Bank is looking for someone to join their compliance advisory team predominately looking after their fixed income and electronic trading business. This role will be in charge of advising the business on regulatory changes and helping them to implement those changes as well as getting involved in day to day compliance advisory work based on the sales and trading floor.

In this advisory role, you'll be working closely on the interpretation and implementation of high profile new Regulations, including MIFID 2, PRIIPs and EMIR 2. You'll provide an advisory service covering regulatory change to stakeholders in the Front Office, Operations and Legal teams and make sure they're aware of regulatory developments that may impact their business.

Your responsibilities will include:

  • Interpreting regulations related to the business and seeing how they impact commercial drivers
  • Providing training to Front Office ensuring they have regulatory knowledge and remain up-to-date on any changes
  • Interpreting and challenging regulatory requirements for upcoming and existing regulations, and also providing expert advice to support our responses during regulatory consultations

By maintaining close contact with regulators, you'll be involved in all aspects of regulatory implementation including rules interpretations, consultation feedback and status updates. You'll carefully review and challenge controls and assurance frameworks to support the establishment of new processes as a result of regulatory implementation. There will also be ample opportunity to gain product advisory experience, including responding to questions and queries from the business and policy owners.


  • Experience of interpreting new rules and regulations
  • Experience of implementing regulatory change
  • Stakeholder management
  • The ability to work independently and take ownership of issues and actions
  • Highly developed problem solving skills
  • The ability to think strategically and clearly translate complex concepts in a manner stakeholders less familiar with rules can understand
  • Solid experience of regulatory risk
  • Investment Banking experience

Reference: 34615476

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