At a Glance
- Tasks: Join our Regulatory Advisory team to manage compliance and engage with regulators on exciting projects.
- Company: Dynamic financial services firm focused on regulatory excellence.
- Benefits: Competitive salary, flexible working options, and opportunities for professional growth.
- Other info: Collaborative culture with excellent career advancement opportunities.
- Why this job: Make a real impact by ensuring compliance in a fast-paced financial environment.
- Qualifications: Experience in compliance or legal roles, strong communication skills, and attention to detail.
The predicted salary is between 50000 - 60000 £ per year.
Requirements
- Experience in a compliance, legal, audit, or post trade operational environment would be desirable.
- An understanding of the regulatory issues impacting market infrastructure or wholesale financial services.
- Strong written and verbal communication skills and attention to detail.
- Sound organisational and time management skills.
- Ability to work effectively with colleagues and clients at all levels.
- Ability to take a risk-based lens to issues, think critically and ask difficult questions.
- Knowledge of regulations relating to Central Counterparty Clearing would be an advantage.
What the job involves
- The Regulatory Compliance Senior Associate is part of the Regulatory Advisory team, who act as the primary channel for communication between our businesses and the regulators, handling applications in relation to new product initiatives as well as managing review and information requests arriving from the regulators.
- They are also the first point of contact when a business seeks advice about the interpretation of current or forthcoming regulations.
- The Regulatory Compliance Senior Associate will report to the Senior Regulatory Advisor and provide support across the team with business initiatives, regulatory requests, managing trackers and information management.
- Provide support to the team of Regulatory Advisors of the SwapClear, Listed Rates and ForexClear businesses. Additionally, provide flexible support to EquityClear, RepoClear business lines and CaLM.
- Assist with the core activities of coordinating regulatory exams and submissions and obtaining approvals for business initiatives.
- Play an active role in the development and implementation of the GRC and systems for compliance, regulatory engagement and risk management.
- Assist with the ongoing provision of Compliance advice and guidance to the business, including reviewing and analysing current and proposed regulations and consultations.
- Collaborate in extending the framework for monitoring and reviewing compliance with EMIR and other relevant regulations.
- Draft minutes from regulatory meetings, maintain and monitor management trackers and MI.
- Co-ordinate the production of MI and the monitoring of regulatory developments.
- Support projects in the wider Markets compliance division.
- Support the Core Compliance team to ensure regulatory requirements are considered through annual compliance owned policy assessments and support, where needed, in the execution of key compliance controls.
Senior Regulatory Compliance Associate employer: London Stock Exchange
As a Senior Regulatory Compliance Associate, you will thrive in a dynamic and supportive work environment that prioritises employee growth and development. Our company fosters a culture of collaboration and innovation, offering comprehensive training programmes and opportunities for career advancement within the financial services sector. Located in a vibrant area, we provide a competitive benefits package and a commitment to work-life balance, making us an exceptional employer for those seeking meaningful and rewarding careers.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Regulatory Compliance Associate
✨Tip Number 1
Network like a pro! Reach out to people in the compliance and regulatory space on LinkedIn or at industry events. We all know that sometimes it’s not just what you know, but who you know that can help you land that Senior Regulatory Compliance Associate role.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of regulations, especially around Central Counterparty Clearing. We recommend having some real-world examples ready to showcase your understanding and how you’ve tackled compliance challenges in the past.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, shoot a quick thank-you email to express your appreciation. It shows your enthusiasm for the role and keeps you fresh in their minds. We love seeing candidates who take that extra step!
✨Tip Number 4
Finally, apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we’re always on the lookout for passionate individuals who are ready to dive into the world of regulatory compliance with us.
We think you need these skills to ace Senior Regulatory Compliance Associate
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience in compliance, legal, or audit environments. We want to see how your skills align with the regulatory issues we deal with, so don’t hold back on showcasing your relevant expertise!
Show Off Your Communication Skills:Since strong written and verbal communication is key for this role, ensure your application reflects that. Use clear, concise language and pay attention to detail—this is your chance to demonstrate your organisational skills right from the start!
Highlight Your Critical Thinking:We’re looking for someone who can think critically and ask the tough questions. In your application, share examples of how you’ve approached complex regulatory issues in the past. This will show us you have the right mindset for the role.
Apply Through Our Website:Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it gives you a chance to explore more about what we do at StudySmarter!
How to prepare for a job interview at London Stock Exchange
✨Know Your Regulations
Make sure you brush up on the key regulations related to Central Counterparty Clearing and other relevant compliance areas. Being able to discuss these confidently will show that you understand the landscape and can navigate it effectively.
✨Showcase Your Communication Skills
Since strong written and verbal communication skills are crucial for this role, prepare examples of how you've successfully communicated complex regulatory issues in the past. Practise articulating your thoughts clearly and concisely.
✨Demonstrate Organisational Skills
Be ready to discuss how you manage multiple tasks and deadlines. Share specific strategies or tools you use to stay organised, especially when handling regulatory requests or compliance projects.
✨Think Critically and Ask Questions
Prepare to demonstrate your critical thinking skills by discussing a time when you had to analyse a complex regulatory issue. Don't hesitate to ask insightful questions during the interview; it shows you're engaged and thinking deeply about the role.
