Regional Compliance Associate (Fintech)

TL;DR

Regional Compliance Associate (Compliance): Managing the firm's relationships with regulators and overseeing regulatory compliance across EMEA with an accent on regulatory reporting and audit coordination. Focus on interpreting regulatory requests, managing Senior Manager Function applications, and ensuring high-quality deliverables for regulatory examinations.

Location: Birmingham, United Kingdom

Company

A leading global investment banking, securities, and investment management firm founded in 1869.

What you will do

• Manage relationships with regulators like the FCA and PRA, acting as the central coordination point for EMEA Compliance deliverables.
• Interpret and clarify regulatory requests for information, identifying data sources and reviewing evidence to produce official responses.
• Coordinate regulatory meetings, audits, and onsite reviews, liaising directly with regulatory bodies.
• Support governance frameworks, specifically the Senior Manager Arrangements and regulatory licensing applications.
• Lead conduct initiatives and produce Compliance Management reporting and the annual EMEA Compliance business plan.
• Collaborate with business units and project managers to implement regulatory changes and solutions.

Requirements

• Experience in a UK Regulatory engagement role or a similar risk-based function.
• Familiarity with UK and/or EU financial services regulatory frameworks.
• Proven experience in delivering strategic projects or change management.
• Strong analytical and problem-solving skills with the ability to handle multiple tasks under pressure.
• Excellent written and oral communication and interpersonal skills.
• Ability to work both independently and collaboratively within a fast-paced environment.

Culture & Benefits

• Commitment to diversity and inclusion with numerous opportunities for professional and personal growth.
• Access to training and development opportunities and firmwide networks.
• Comprehensive wellness, personal finance offerings, and mindfulness programs.
• Provision of reasonable accommodations for candidates with special needs or disabilities.