Your Role

Are you risk averse but risk aware? Do you specialize in regulatory initiatives within Financial Services and with a current focus on MiFID II? We are looking for someone like that to:

  • Support the business in managing regulatory risk
  • Perform second-line-of-defense activities in relation to consequential regulatory risks
  • Ensure frameworks are designed well and operating effectively
  • Deliver independent assessment and reports that shed light on our regulatory performance
  • Provide business management with input to controls, tools, training, frameworks and information and insights required to manage regulatory risk

Your Team

You’ll be working in the UK Wealth Management Policy and Regulation team in London with a particular focus on MiFID II implementation. We are responsible for the identification of compliance risks across the whole of the Wealth Management UK business and the provision of solutions to respond to such risks. The team reports on regulatory developments and provides appropriate guidance in respect of compliance regulations and their application. Team members provide subject matter expertise to business and senior management colleagues, develop appropriate policies and provide formal Compliance approvals.

Your experience and skills

You have:

  • Education to degree level
  • Experience in compliance within the financial services sector – preferably in a Wealth Manager
  • Sound know-how in the analysis of business processes
  • Regulatory knowledge as it relates to wealth management, such as investor protection (essential)

You are:

  • Able to critically verify aspects of [client relationship management] and challenge documentation with an independent mindset
  • Reliable and resilient (challenging situations and conversations don’t scare you)
  • Fluent in English both written and spoken

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