Senior Compliance Consultant - Capital Markets

Ocorian; London; On-site; GBP 40,000 - 80,000; Full time

Job summary

Join a forward-thinking consultancy that specializes in regulatory compliance within the financial sector. This dynamic role involves providing expert advice on complex regulatory matters, managing client projects, and actively engaging in business development. You will work closely with a diverse range of clients, from investment banks to crypto traders, helping them navigate the intricacies of regulations like EMIR and MiFID II. Your expertise will be crucial in delivering tailored solutions and ensuring compliance while fostering strong client relationships. If you thrive in a fast-paced environment and are passionate about making a difference in the financial services industry, this is the perfect opportunity for you.

Benefits

Pension Scheme

Private Medical Insurance

Life Assurance

Income Protection & Critical Illness

Qualifications

• Deep understanding of regulatory challenges like EMIR and MiFID II.
• Significant compliance experience in financial institutions or consultancy.

Responsibilities

• Provide high-quality advice on regulatory compliance matters.
• Manage client projects and ensure timely delivery of services.
• Build professional relationships and seek new client opportunities.

Skills

Regulatory Compliance

Project Management

Client Relationship Management

Communication Skills

Commercial Acumen

Education

Degree in Finance, Law, or related field

Tools

FCA Handbook

Job description

Ocorian is a global leader in corporate and fiduciary services, fund administration and capital markets. Wherever our clients hold financial interests, or however they are structured, we provide compliant, tailored solutions that are individual to their needs.

We manage over 15,000 structures for 6000+ clients with a global footprint operating from 20+ locations, delivering administration and compliance services for funds, corporate, capital markets and private clients.

Introducing Bovill Newgate

Bovill Newgate is a specialist financial services regulatory consultancy with a global offering across the UK, the Channel Islands, Singapore, Hong Kong, Mauritius and the Americas. We help our clients meet complex and evolving regulatory obligations, providing certainty and peace of mind. We work with firms of every size across the financial services sector, supporting clients managing regulatory change and dealing with regulatory scrutiny. We provide advice on regulatory change and preventing financial crime, applications to regulators, building or enhancing regulatory frameworks, conducting compliance investigations or diagnostics, training and fulfilling prescribed roles.

What's in it for you?

• Pension Scheme
• Private medical insurance
• Life assurance
• Income protection & Critical illness

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 focused regulation, including EMIR, MiFID II, Benchmarks and MAR, and with other complex rules like those in the Client Asset and Prudential spheres.

• 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 ad-hoc and routine regulatory queries
• Manage projects, often with multiple workstreams. This includes project planning, budgeting, scheduling, resource management and project close-down
• 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 firm’s Quality Assurance Framework prior to submission to the client
• Build and maintain professional working relationships with clients
• Actively seek to increase Bovill’s pipeline by targeting new clients, as well as leveraging existing client relationships to maximise opportunities for up-selling and cross-selling
• Prepare well-presented, 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 Bovill’s technical capacity within the relevant sectors

Qualifications Required

Technical Qualities:

• Demonstrate deep understanding of both the business issues in this sector across a range of asset classes, as well as the key regulatory challenges faced e.g., EMIR, MiFID II, and MAR
• Familiarity with the key aspects of the FCA handbook is important
• Significant compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
• Knowledge and experience of at least one of:
  • EMIR
  • MiFID II
  • Benchmarks
  • MAR
  • CASS
  • IFPR

Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions

• Exceptional written and oral communication skills
• Ability to confidently interact with Board and Executive level clients
• Ability to prioritise multiple projects and engagements whilst meeting tight deadlines
• Highly motivated individual who thrives in a fast-paced, high-pressure environment
• Proven ability to manage own workload, and cope with the ‘peaks and troughs’ associated with professional services

Commercial acumen, with the ability to spot new opportunities and develop them

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 we’re 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 there’s anything we can do to make the process easier for you. You can reach us at [e-mail].

We’re 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.