Senior Regulatory Compliance Consultant

4 weeks ago

London, Greater London, United Kingdom Black Swan Group Full time

Compliance Guidance Role

Black Swan Group is a prominent player in the financial services sector, aiming to strengthen their compliance guidance division by adding a Fixed Income compliance expert. This position offers a remarkable opportunity for a seasoned Fixed Income professional eager to embrace greater responsibilities, including the management of a junior team member.

Your key responsibilities will encompass:

  • Establishing and nurturing relationships throughout the organization by delivering compliance advice and insights on pertinent regulatory matters related to Fixed Income.
  • Advising on new financial products regarding potential regulatory risks and the necessary controls that may need to be implemented.
  • Overseeing a junior team member, providing mentorship and support.
  • Serving as a primary point of contact for any transactions flagged by the surveillance team when necessary.
  • Conducting training sessions and offering guidance on regulatory issues to the front office.
  • Participating in the broader compliance function by assisting with training initiatives, preparing written reports for management, and engaging in various ad-hoc projects.

To be considered for this role, you should possess:

  • Proven experience in the Fixed Income domain, ideally within a compliance advisory capacity at a reputable buy-side firm.
  • While prior management experience is not mandatory, exceptional interpersonal skills and a genuine interest in leadership are essential.
  • A robust technical understanding of Fixed Income products.
  • Strong stakeholder management capabilities.
  • A comprehensive knowledge of FCA regulations and compliance standards.
  • Excellent verbal and written communication skills, with experience in producing high-quality reports under tight deadlines.

This role represents a significant opportunity for professional growth within a dynamic and supportive environment.

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