Regulatory Liaison (Vice President)

Job Description

Job title: Regulatory Liaison, Corporate Title: Vice President, Department: Compliance, Location: London

Tasks

- Include information and other matters requested by regulatory authorities. - Assist in coordinating regulatory reviews or investigations. - Help others in the company build strong relationships with regulatory authorities and understand the requirements of the FCA, PRA (and other regulatory authorities). - Engage with compliance staff in the EMEA network to support a coordinated approach to regulatory matters in the EMEA region. - Understand and stay up to date on the business, products, and regulatory and commercial environment in which the company operates. - Provide information to keep senior management and other relevant individuals in the company informed about important regulatory developments. - Escalate significant issues to the Head of Regulatory Affairs. - Assist in the preparation of compliance management information and metrics. - Assist in coordination and communication with Tokyo Compliance and Tokyo Regulatory Affairs. - Maintain appropriate systems and controls to ensure the company meets its regulatory and legal responsibilities. - Proactively promote the importance of compliance and strong regulatory relationships within the company.

Requirements

- College degree or equivalent professional qualification. - Experience in the financial services industry with an excellent understanding of current and emerging regulatory issues for wholesale investment firms. - Experience in a regulatory liaison role, managing regulatory relationships, regularly liaising with dedicated supervisory teams as the primary point of contact for the firm. - Significant experience coordinating comprehensive cross-functional regulatory communications, responses, and reviews.

We offer

- An opportunity to work for a global financial services company. - A wide range of opportunities for professional development and further training. - An inclusive work environment that promotes diversity and equal opportunities.

Corporate culture

- Respect for diversity, promoting a culture of psychological safety in the workplace, and cultivating a "risk culture" (challenge, escalation, and respect). - Promoting entrepreneurship and productivity through effective communication and motivation. - Commitment to professional development and knowledge sharing.