Senior Compliance Consultant - Capital Markets
Senior Compliance Consultant - Capital Markets
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Job Description
The Capital Markets team gives specialist advice on detailed regulatory requirements through to delivering complex regulatory implementation projects. The team also participates in marketing and business development technical research and producing technical materials.
Our clients range from Regulated Markets CCPs CSDs MTF/OTFs Investment Banks to specialist Brokers and Crypto traders. We help our clients deal with the challenge of market focussed regulation including EMIR MiFID II Benchmarks and MAR and with other complex rules like those in the Client Asset and Prudential spheres.
Client delivery
- Take personal responsibility for achieving the agreed billable hours target
- Provide high quality advice and support to clients on a range of regulatory compliance matters. This may include:
- conducting regulatory reviews
- delivering training sessions and workshops for compliance staff and senior management
- assisting with authorisations
- drafting policies and procedures
- responding to adhoc and routine regulatory queries
- Manage projects often with multiple workstreams. This includes project planning budgeting scheduling resource management and project closedown
- Act as the main point of contact for a portfolio of clients. This may include:
- responding to all queries managing client expectations and delegating work where necessary
- reviewing the work of colleagues and providing constructive feedback
- ensuring accurate invoicing timely payment and assisting the Finance team in resolving any queries
- dealing with any complaints quickly and effectively
- Actively partner with global sector teams to support and deliver on shared projects and responsibilities where required
- Adhere to the firms Quality Assurance Framework prior to submission to the client
Business development
- Build and maintain professional working relationships with clients
- Actively seek to increase Bovills pipeline by targeting new clients as well as leveraging existing client relationships to maximise opportunities for upselling and crossselling
- Prepare wellpresented accurately priced proposals and present these to prospective clients
- Represent the firm at industry events promoting the Bovill brand
- Participate in internal events and training sessions such as client briefings and roundtable events
- Assist the team with marketing and business development activities
Regulatory knowledge
- Keep abreast of regulatory developments and understand how client activities may be impacted
- Be proactive in updating both colleagues and clients on relevant regulatory changes and industry news
- Develop a thorough understanding of clients businesses and requirements so you can provide relevant and accurate advice
- Help develop Bovills technical capacity within the relevant sectors
Qualifications :
Technical Qualities:
- Understanding of both the business issues in this sector as well as the key regulatory challenges faced.
- Familiarity with the FCA handbook.
- Compliancerelated experience gained at a financial institution legal practice consultancy and/or the regulator
- Knowledge and experience of at least one of:
- EMIR
- Transactional Reporting
- Benchmarks
- MAR
- CASS
- IFPR
- FCA Authorisations
Additional Information :
All staff are expected to embody our core values that underpin everything that we do and that reflect the skills and behaviours we all need to be successful. These are:
- We are CLIENT CENTRIC Clients are at the centre of our world and were committed to providing expertise and specialist solutions to meet their most complex challenges.
- We are AMBITIOUS We aim high. We think and act globally seizing every opportunity to delight our clients and support our colleagues wherever in the world they may be.
- We are AGILE We act on our initiative to get things done for our clients. Our independence gives us the flexibility and freedom to keep things simple efficient and effective.
- We are COLLABORATIVE With a curious mindset we ask the right questions to get to the right solution for our clients faster. We collaborate to win together and share our successes.
- We are ETHICAL We behave with integrity at all times and assume positive intent building trust through responsible actions and honest relationships.
Equal Opportunities for Everyone
Please let us know if theres anything we can do to make the process easier for you. You can reach us at .
Were an equal opportunity employer. All applicants will be considered for employment without attention to age ethnicity religion sex sexual orientation gender identity family or parental status national origin or veteran neurodiversity or disability status.
Remote Work :
No
Employment Type :
Fulltime
Employment Type
Full-time
