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Compliance Paralegal Specialist

2 months ago

London, Greater London, United Kingdom AMS Full time

AMS is a leading global workforce solutions provider, dedicated to helping organizations navigate the complexities of modern employment landscapes. Our expertise in Contingent Workforce Solutions (CWS) allows us to seamlessly integrate with our clients' recruitment efforts, offering skilled interim and temporary personnel.

We are currently collaborating with a prominent UK retail banking institution that serves over 17 million customers. This bank excels in various sectors, including Business Services, Corporate Banking, Wealth Management, Group Functions, Retail, and Investment Banking.

AMS is seeking a Regulatory Paralegal for a 6-month engagement based in London, with occasional office visits.

Role Overview

In this position, you will meticulously review the Contractual (Rulebooks) and Legal documentation for the Trading Venues utilized by the organization. Collaborating closely with Legal, Compliance, and Business teams, you will ensure that the documentation aligns with the requirements of various functions by accurately detailing the obligations of the organization.

Key Responsibilities:

  • Assist in the Venue outreach initiative to gather and archive the necessary Contractual and Legal documentation.
  • Coordinate with Legal, Compliance, and Business teams to establish the review format and required detail level.
  • Prioritize and deliver reviews based on stakeholder requirements, addressing any quality assurance feedback received.
  • Document all obligations and present findings to the working group, ensuring clear ownership for ongoing compliance.
  • Support the creation and revision of plans as directed by the PMO Lead.
  • Contribute to the design of future state models for Business As Usual (BAU) review processes related to Contractual (Rulebooks) and Legal documentation.
  • Assist in preparing program status or project highlight reports to escalate risks and issues to senior management.
  • Record actions and minutes during internal and external meetings to keep stakeholders informed of key decisions.

Candidate Requirements:

  • Experience in the financial services sector.
  • Familiarity with clearing house operations.
  • Knowledge of global regulations, including MiFID II, US SEC, and CFTC.
  • Proficiency in MS Office and related tools.
  • Excellent interpersonal and communication skills, with the ability to present effectively to senior stakeholders.

Please note that this client will only consider candidates operating through an Umbrella or PAYE engagement model.

If you believe you meet the outlined criteria, we encourage you to apply, and we will provide an update in due course.

AMS, as a Recruitment Process Outsourcing Company, may operate as an Employment Agency or Employment Business in the delivery of some of its services.