Compliance Associate, Capital Markets

2 weeks ago

London, United Kingdom Ocorian Full time
Job Description

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.

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.

Main Responsibilities

  • 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.
  • Participation in and potential facilitation of events, roundtable discussions, and training sessions on topical regulatory issues.
  • Responding to ad-hoc and routine regulatory queries.

Qualifications

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.
  • Exceptional communication skills and high attention to detail are essential.


Additional Information

All staff are expected to embody our core values that underpin everything that we do and that reflect the skills and behaviours we all need to be successful.  These are:

  • We are CLIENT CENTRIC – Clients are at the centre of our world, and we’re committed to providing expertise and specialist solutions to meet their most complex challenges.
  • We are AMBITIOUS – We aim high. We think and act globally, seizing every opportunity to delight our clients and support our colleagues - wherever in the world they may be.
  • We are AGILE – We act on our initiative to get things done for our clients. Our independence gives us the flexibility and freedom to keep things simple, efficient and effective.
  • We are COLLABORATIVE – With a curious mindset, we ask the right questions to get to the right solution, for our clients faster. We collaborate to win together and share our successes.
  • We are ETHICAL – We behave with integrity at all times and assume positive intent, building trust through responsible actions and honest relationships.

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