Senior Legal and Regulatory Affairs Officer in London

This is an exciting opportunity to join our dynamic RBC BlueBay Compliance Advisory UK team as a Senior Compliance Officer, where you will play a vital role in providing expert compliance advice, managing regulatory risks, and driving key business initiatives. In this pivotal position, you will ensure RBC BlueBay’s adherence to regulatory requirements while actively contributing to the firm’s success. This is a unique opportunity to thrive in a collaborative environment and make a meaningful impact on both the organization and your professional growth.Provide expert regulatory advice UK/EU UCITS and Alternatives funds.Provide expert regulatory advice on US 40 Act Funds.Support the compliance team in maintaining the Restricted List of issuers on which BlueBay may hold inside information, including managing wall-crossing, pre-sounding of new issues, review of Investment Management Agreements and Confidentiality Agreements.Complete periodic compliance certifications for clients in accordance with IMA reporting obligations.Drive efficiencies and enhancements to existing Compliance controls and framework.Development, review and maintenance of robust Compliance Policies and Procedures for RBC BlueBay UK.Assist with the delivery of Compliance Management Information for periodic reports to the Board and Committees.Provide ongoing support to maintain the accuracy of RCM for the business areas covered and contributing to compliance risk assessments.Conduct Compliance Monitoring of business areas covered as required.Provide advice on general queries relating to Requests For Proposals and ensure the standard responses covering the Compliance department are up-to-date.Develop a training program and conduct compliance training to support business awareness and understanding of firm and regulatory standards.Participate in business projects and enterprise initiatives, offering compliance guidance.Support the compliance central teams with the delivery of testing and surveillance escalation and policy breaches closure.Monitor and manage compliance risks, ensuring adherence to regulatory requirements.Proactively identify and address regulatory and reputational risks.Must-haveExpertise in UK, EU and US regulations relevant to asset management.Strong knowledge of investment compliance, including investment borrowing limits, portfolio compliance monitoring, and fund restriction management.Expertise in UK/EU regulatory environments, and FCA Handbook rules.Minimum of 5 years of experience in a role requiring knowledge of UK, EU and SEC regulation and legislation applicable to Asset Management.Commitment to professional development and continuous learning.We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.A comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensationLeaders who support your development through coaching and managing opportunitiesOpportunities to work with the best in the fieldAbility to make a difference and lasting impactWork in a dynamic, collaborative, progressive, and high-performing teamA world-class training program in financial servicesFlexible working options fully supported.Job SkillsAudits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic ThinkingAdditional Job DetailsAddress:100 BISHOPSGATE:LONDONCity:LondonCountry:United KingdomWork hours/week:35Employment Type:Full timePlatform:Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.Join our Talent CommunityStay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.Applying to this posting allows you to express your interest in this current career opportunity at RBC. Audit | Compliance | Legal | RiskEmployment type: Full time