Compliance Associate, Capital Markets

4 weeks ago

London, United Kingdom Bovill Full time

The Capital Markets team gives specialist advice on detailed regulatory requirements and delivers complex regulatory implementation projects. The team also participates in marketing and business development, technical research, and the production of technical materials.

Our clients range from Regulated Markets, CCPs, CSDs, MTF/OTFs, Investment Banks to specialist Brokers. We help our clients deal with the challenge of market-focused regulation, including EMIR, MiFID II and MAR.

Our Associates support with the delivery of this work while also choosing specialist areas of development. We are looking for individuals eager to become subject matter experts and to build a career in consulting.

This position is particularly suited to individuals with a regulatory compliance background seeking a diverse role with a strong emphasis on client delivery.

The areas in which the Associate is expected to assist clients includes but is not limited to:

  • Assisting with advice and support on a variety of regulatory compliance matters including authorisation applications and variations of permissions.
  • Involvement in project work, compliance health checks and periodic monitoring for clients
  • Drafting and maintaining policies, procedures, and compliance monitoring programmes.
  • Developing training materials and assisting in delivering training sessions.
  • Assisting with regulatory matters including authorisation applications, variations of permission and changes of control.
  • Carrying out compliance health checks and periodic monitoring (including client file reviews)
  • Arranging and helping to prepare for client meetings.
  • Assisting the team with marketing and business development activities which may include preparing proposals and draft engagement letters, writing articles for publication (website & social media) and preparing marketing materials.
  • Actively engaging with clients and identifying opportunities to increase Bovill’s client base by performing market research and identifying new prospects.
  • Responding to ad-hoc and routine regulatory queries.

The role also provides opportunities to attend relevant industry events to expand your professional network and promote the Bovill brand. Additionally, participation in and potential facilitation of Bovill events, roundtable discussions, and training sessions on topical regulatory issues are encouraged.

We are looking for individuals who have:

  • Compliance-related experience gained in a trading venue, investment bank, financial institution, legal practice, consultancy and/or the regulator.
  • Experience in any of the following areas is desirable: CASS, Transaction Reporting, Market Abuse, Financial Crime, Benchmarks, Authorisations
  • Understanding of the FCA’s approach to regulation
  • Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions.
  • An aptitude for consulting and a desire to learn compliance regulation in the capital markets sector.
  • A passion for problem-solving and a keen interest in learning how to manage relationships with clients and the wider team.

Given the technical nature of the role, exceptional communication skills and high attention to detail are essential. There are also opportunities to widen your experience by assisting other teams and clients on a broader range of regulatory matters.

In return, we offer:

  • The opportunity to work in an entrepreneurial, fast-paced, and stimulating environment.
  • Support for career development through mentoring, coaching, and relevant training
  • The opportunity to work with friendly and collaborative colleagues.
  • Pension, private healthcare, and a generous flexible benefits package.

Bovill actively supports flexible working and promotes a hybrid working practice. We welcome applications from candidates interested in part-time work or flexible start and finish times.

A full job description can be requested by contacting recruitment@bovill.com.

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