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Compliance Director - Regulatory - Capital Markets

Rothstein Recruitment
London, United Kingdom
£85k - £120k
Closing date
Jun 21, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Compliance Director - Regulatory - Capital Markets

Excellent opportunity opens for a Compliance Director to support Capital Markets Compliance to discharge our mandate to manage and mitigate regulatory compliance risk and help business leaders fulfil their regulatory compliance responsibilities and achieve their business goals, while building a strong, innovative and relationship-oriented bank

You will act as the primary UK point of conduct for Global Regulatory Affairs (GRA) focusing on regulatory interactions with UK and Luxembourg regulators. You will also work as part of a small team providing Compliance support to the Capital Markets business in UK, including advisory, oversight, training, policy development and conduct and culture assessment.

  • Assist the Head of Compliance Europe in interactions and communications with relevant UK regulators (PRA, FCA), Luxembourg regulators (e.g. CSSF, EBA) and European regulators (ESMA), including regulatory reviews, regulatory communication, meetings, ad hoc requests, etc.
  • Lead the coordination of work related to regulatory interactions and ensure effective development of action plans to be communicated to our regulators.
  • Build synergy and interactions with management in UK and Lux on regulatory matters relevant to them. Initiate and lead analysis, as well as the assessment of potential regulatory risks.
  • Provide compliance support, guidance and advice to Global Markets and Corporate & Investment Banking on relevant policies and procedures and conduct training.
  • Assist with oversight reviews designed to identify, assess and escalate potential regulatory issues.
  • Ensure effective partnership and relationship building by communicating and managing contact with senior business leaders and colleagues, both locally and globally, to facilitate appropriate information sharing, project coordination, and open lines of communication.
  • Contribute to the team's knowledge base and keep abreast of developments within the industry, including leading research efforts on specific topics. Monitor regulatory requirements and communicate to relevant stakeholders the implication of existing and proposed regulations and where required, assist in the development of responses to regulators.
  • Primary Europe conduit with head office GRA. Actively participate in relevant GRA interactions and bi-weekly meetings. Support efforts on impending risks to global team. Contribute to initiatives/projects led by Head Office GRA, as these projects may have firm wide impacts and may be cross-functional in nature.
  • Provide input into Senior Management and Board reporting for GRA.


The job requires working closely with members of Compliance and Global Regulatory Affairs and other governance functions (e.g., Risk Management, Internal Audit, Legal, Privacy, Finance, etc.) both locally and globally as well as the Capital Markets business unit in UK and Lux. The job may also require participating on cross-functional teams in order to support initiatives from other groups. Cross-functional relationships will include Executive level engagement.

Frequent interaction with regulators will be required for meeting coordination or document submissions and support regulatory reviews as required.

  • Post-secondary education / undergraduate degree with focus on business and/or banking.
  • Working experience of 7 years or more across different areas of banking or related industries is preferable. We are seeking an individual with working knowledge of governance and processes in the banking industry.
  • Understanding of current regulatory developments is preferable.

Interested? Please apply!

Compliance Director Regulatory Bank Banking Investment Banking Capital Markets Global Regulatory Affairs

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