Regulatory Development Technical Manager
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- Full Time
- Contact: Recruitment Team
- Reference: R0071094
- Posted November, 16, 2023 9:45 AM
Job Description Role title: Regulatory Developments Technical Manager Contract type: Permanent Location: Edinburgh/ London/ with blended home working About the Role To develop relationships across Investments (all asset classes) and to source or provide compliance...
Role title: Regulatory Developments Technical Manager
Contract type: Permanent
Location: Edinburgh/ London/ with blended home working
About the Role
To develop relationships across Investments (all asset classes) and to source or provide compliance advice day to day or for commercial or regulatory change projects.
To provide the lead on analysis on impact of regulatory developments affecting investment desks and feeding results back to business and Shared Services.
To support Risk & Compliance Head of Investments / SMF16 in the provision of regulatory advice to the business, board and client reporting including for MIFID matters in Operations and Distribution.
Drafting board materials for inclusion in Investment Governance and MIFID board papers.
Maintaining detailed and adequate records and reporting to support SMCR “reasonable steps” of relevant SMFs (SMF16 and SMF4)
To work with management of Market Conduct / ICR team to ensure both pre and at trade regulatory risks are addressed, both deputising for SMF16 when required.
Supervising analysts and consultants on tasks and project where required.
To implement oversight, monitoring and reporting processes alongside RC colleagues e.g. conflicts reporting and resolution, client due diligence and reporting
Working with colleagues across SLA RC to enhance reporting and services globally (including developing functional relationship with Shared Services teams)
Promoting the creation of a stronger compliance culture within Investments.
To represent RC in client meetings, client due diligence and x-functional projects.
Risk & Compliance Analytics
Acting as the “point person” for all Investments matters (ex-Market Conduct and Investment Execution) ;
Providing of regulatory advice (directly or sourcing) for ongoing business and regulatory changes;
Representing RC in investment forums and committees;
Contributing to MI for RC Management or Investments
About the candidate requirements
Relevant industry or professional qualifications an advantage (IMC, SI Diploma, IMC, CFA lawyer, accountant)
Strong and deep knowledge of MIFID / Front Office regulatory rules and principles, preferably obtained from similar buy side environment
Experience supporting a broad client base with diverse queries and requirements
Strong problem solving, analytical skills and decision-making ability;
Strong communication, presentation and interpersonal skills especially in relation to cross team collaboration;
Tenacious, principled and able to become a respected and challenging partner to the business.
Consistent focus on timeliness, quality, completeness and accuracy of reporting.
Experience with Operational Risk systems (Shield) and workflow an advantage
We are proud to announce that we have officially become a Disability Confident Committed – Level One employer. Therefore, if you have a disability and would like to submit an application to one of our UK roles under the Disability Confident Scheme, please notify us by completing the relevant section in our candidate questionnaire and one of our team will reach out to support you through your application process.
There's more to working life than coming home with a good salary. We have an environment where you can learn, get involved and be supported.
When you join us, your reward will be one of the best around, including 40 days annual leave, a 16% employer pension contribution, a discretionary performance-based bonus (where applicable), private healthcare and a range of flexible benefits including gym discounts, season ticket loans and access to an employee discount site amongst many others. You can read more about our benefits here.
We’re committed to providing an inclusive workplace where all forms of difference are valued and which is free from any form of unfair or unlawful treatment. We define diversity in its broadest sense – this includes but is not limited to our diversity of educational and professional backgrounds, experience, cognitive and neurodiversity, age, gender, gender identity, sexual orientation, disability, religion or belief and ethnicity and geographical provenance. We support a culture that values meritocracy, fairness and transparency and welcomes enquiries from everyone.
If you need assistance or an adjustment due to a disability please let us know as part of your application and we will assist.
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