Compliance Manager - US Regulatory Specialist

London Permanent
  • Growing compliance team
  • Excellent opportunities for progression

About Our Client

Our client are a leading UK Investment Management firm with a major presence in London and a smaller office in Edinburgh whose global presence is currently expanding to North America.

Job Description

The Compliance Manager - US Regulatory Specialist will be responsible for:

  • Assisting the Head of Compliance, for in-scope jurisdictions keeping abreast of policy developments, ensuring policies are kept up to date and aligned, implementing regulatory policy change where necessary and advising the business on compliance policy and regulatory matters
  • Implementing regulatory changes for in-scope jurisdictions a. Whilst working closely with the UK/EMEA Policy team, identifying regulatory change that could impact the firm considering how the regulatory changes will impact and can be incorporated into the business.
  • Ensuring compliance policies and procedures are in line with regulatory requirements, updating and refreshing them as regulatory requirements/expectations change

The Successful Applicant

The Compliance Manager - US Regulatory Specialist should have the following skills:

  • Minimum 7 years' Compliance experience within US financial services, ideally with SEC, CFTC and FINRA expertise/experience
  • Experienced in regulatory compliance, with significant experience of interpreting US rules and solid understanding of the UK regulatory regime, and how the rules apply in practice
  • Some experience with Canadian and Australian regulations preferable
  • Desirable but not essential: university degree and professional exams (eg IMC, CISI Diploma, NFA Series exams or FINRA qualifications)
  • Competent user of Microsoft Office eg Word

What's on Offer

Competitive salary and attractive benefits package

Karen O'Neill
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Phone number
+44 207 645 1432

Job summary

Banking & Financial Services
Compliance & Legal
Financial Services
Contract type
Consultant name
Karen O'Neill
Consultant phone
+44 207 645 1432
Job reference