Financial Regulatory Policy Specialist
4 weeks ago
Compliance Associate, Capital Markets (Bovill)
Full-time
London Fund Services | Corporate | Capital Markets | Private Client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solve complex challenges faced by asset managers, financial institutions, corporates, high net-worth individuals and family offices. We collaborate to win together, sharing successes and shaping the future of our global business. Our culture of support and recognition provides the tools and opportunities for you to grow, while unlocking the most value for our clients and making your mark withOcorian. Expertise: We deliver specialist, tech-enabled solutions for our clients grounded on deep industry expertise. Introducing Bovill In February 2024 Ocorian acquired Bovill to offer comprehensive regulatory and compliance support to financial services organisations internationally [alongside Newgate, Ocorian’s existing regulatory and compliance business]. Bovill is a global financial services regulatory consultancy with offices in London, Singapore, Hong Kong, and the Americas. We help firms build projects to respond to significant regulatory change or give them peace of mind they’re doing the right thing. Purpose of the Job 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. This position is particularly suited to individuals with a regulatory compliance background seeking a diverse role with a strong emphasis on client delivery. 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 permissionand 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.
Participation in and potential facilitation of events, roundtable discussions, and training sessions on topical regulatory issues.
Responding to ad-hoc and routine regulatory queries. Compliance-related experience gained in a trading venue, investment bank, financial institution, legal practice, consultancy and/or the regulator.
CASS, Transaction Reporting, Market Abuse, Financial Crime, Benchmarks, Authorisations
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.
We are AGILE – We act on our initiative to get things done for our clients.
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