We're seeking a Markets Compliance Advisory –Associate who will effectively partner with Line of Business (LOB) and global/regional Compliance teams; including Operational Risk and other Control functions. This position requires knowledge and experience in Compliance, as well as familiarity with regulatory and/or audit best practices.

As a Compliance Advisory – Associate within Markets Line of Business team, you will partner with global and regional compliance teams to ensure adherence to regulatory standards. You will have the opportunity to provide thought leadership and compliance input to regulatory change management. You will drive business initiatives that align with our firm's regulatory and reputational risk tolerances. Your role will be pivotal in shaping the compliance landscape and ensuring our business thrives in a competitive environment.

Job responsibilities

Partner with Line of Business and global/regional compliance teams.

Provide credible, timely, and risk-based oversight and challenge.

Deliver thought leadership and compliance input to regulatory change management.

Support business initiatives with timely and documented input.

Conduct scheduled and ad-hoc training for the business.

Complete monitoring activities accurately and timely.

Identify, implement, and review compliance policies and procedures.

Prepare materials for forums.

Escalate issues to management appropriately

Required qualifications, capabilities and skills

Relevant Compliance or other related experience; such as Risk management, Audit, or similar Control-related experience

Knowledge of the UK and EU regulatory framework as applicable to the coverage areas (e.g. MiFID II, MAR and PRIIPs), and recent regulatory developments, (e.g. Consumer Duty, Retail Investment Strategy)

Demonstrated ability to identify key issues and obtain appropriate information for further analysis

Must be highly analytical with experience in collecting, analyzing, and synthesizing information on various subjects

Must possess excellent written and oral communications skills

Teamwork skills; you must be flexible in work style and be able to work appropriately with stakeholders and colleagues 

Strong PC Skills including Microsoft Excel, SharePoint, Word, PowerPoint and other reporting tools

Ability to establish credibility and strong partnerships globally

Ability to manage numerous reviews and confidential and sensitive information in a professional manner in a fast-paced, deadline-driven environment

Audit, Regulatory &/or Testing experience

Preferred qualifications, capabilities, and skills

Ideally exposure to at least some of the coverage areas listed above

Audit, Regulatory &/or Testing experience