Regulatory & Compliance Advisory Manager - Banking

Rothstein Recruitment; City Of London; On-site; GBP 80,000 - 100,000; Full time

Job summary

A leading recruitment firm in the City of London is seeking a Regulatory & Compliance Advisory Manager. This role is pivotal in designing and owning regulatory strategies, delivering advisory support, and working with senior stakeholders. Candidates must possess substantial compliance expertise, particularly in FCA regulations and sustainability. The role encompasses advising on cross-border regulatory matters and involves comprehensive monitoring of emerging regulations, along with training initiatives to promote compliance across the organization.

Qualifications

• Experienced compliance professional with a strong FCA financial services background.
• Proven expertise in UK regulatory frameworks and compliance.
• Solid understanding of sector-specific regulations including ESG.

Responsibilities

• Advise on sustainability-related regulations such as FCA ESG.
• Provide expertise on MAR obligations and conduct risk indicators.
• Ensure adherence to SMCR requirements and provide guidance.
• Offer guidance on regulatory obligations for cross-border activities.
• Monitor emerging regulations and lead policy enhancements.
• Deliver targeted regulatory training across the business.

Skills

FCA financial services background

Expertise in UK regulation

Knowledge of sustainability regulations

Cross-border regulatory knowledge

Job description

Regulatory & Compliance Advisory Manager - Banking

Excellent opportunity opens for a Regulatory & Compliance Manager position. This role offers the opportunity to design and own regulatory strategy, deliver high-quality advisory support, and work closely with senior stakeholders. The ideal candidate will be an experienced compliance professional with a strong FCA financial services background, proven expertise in UK regulation, and confidence advising senior leaders. You will bring solid knowledge across key regulatory areas and ideally have experience supporting cross-border activities within a group or international environment.

Main Responsibilities

Sustainability & ESG Regulatory Compliance

• Advise the business on sustainability-related regulations such as FCA ESG / SDR requirements, greenwashing guidance, climate-related disclosures and EU sustainability frameworks when relevant.
• Support integration of ESG regulatory expectations into products, governance and risk management frameworks.

Market Abuse & Surveillance Oversight

• Provide expertise on MAR obligations, including inside information handling, personal account dealing, conflict of interest controls, trade surveillance themes and conduct risk indicators.
• Support the development and review of surveillance scenarios and escalation frameworks.

SMCR Oversight & Governance

• Ensure adherence to SMCR requirements, including fitness & propriety processes, conduct rules, accountability mappings, regulatory references, and ongoing certification.
• Provide guidance to Senior Managers and Certified Staff on responsibilities, documentation and regulatory expectations.

Cross-Border Regulatory Advice

• Offer guidance on regulatory obligations relevant to cross-border business activities, including EU, APAC or US frameworks where the UK business interacts with group entities or international clients.
• Assess regulatory impacts of cross-jurisdictional products or services to ensure appropriate controls and approvals.

Regulatory Horizon Scanning & Policy Development

• Monitor emerging UK and global regulations (FCA, PRA, ESMA, SEC, etc.) and assess impact on business models and product offerings.
• Lead enhancements to internal policies, frameworks and procedures to ensure alignment with evolving regulatory expectations.

Training & Culture Development

• Deliver targeted regulatory training across the business, promoting awareness of compliance obligations and strengthening conduct culture.