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Job Specification

Part/Full Time Reg Tech Compliance Manager – MiFID Experience (inc Transaction Reporting knowledge) Required

£90K- £100K plus Bonus & Benefits | City of London / WFH
Ref: 3829G

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

We are exclusively recruiting for our client, a growing Reg Tech platform, looking for an experienced Compliance Officer to be their UK Head of Compliance (though not SMF 16 nor any AML duties). Reporting to the EU based Group Head of Compliance, you will be tasked with overseeing all UK based Compliance requirements and reporting. Duties will include;
  • Perform compliance reviews and monitoring compliance obligations, in accordance with the FCA regulations as they apply to RegTech providers;
  • Perform compliance risk assessments across new regulations and emerging changes for existing regulations (including MiFIR, AIFMD, UCITS, SFDR, SEC regulations);
  • Documenting all regulatory changes for internal review and for client communications;
  • Creation of regular compliance monitoring reports. 
  • Providing advice and assistance the UK Senior Management Team on all  compliance matters;
  • Continuous assessment and measuring effectiveness of the compliance function and controls;
  • Providing compliance oversight as part of the compliance function for the MiFID II ARM (Approved Reporting Mechanism);
  • Responding to compliance questions raised by clients, regulators and other interested parties.
You must have gained Compliance experience with an Asset Manager, Investment Bank or Dealer Broker, ideally including experience of regulatory reporting.  This must have included good MiFID II knowledge, able to advise and guide technically minded colleagues around the regulatory requirements.  Excellent opportunity to join a fast-growing business that has a strong position in their field.
The role can be taken as a 3 or 4 day a week part time basis (pro rata to above salary range) or full time, as suits the successful candidate and will be a hybrid role with 1-2 days required in the office by Bank. If you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins on 020 7562 7400 or send your details to  (including a contact number & email) however please note due to Covid we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).
We are acting as an employment agency in relation to this role.  
Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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