Regulatory Compliance Consultant

Key Responsibilities

• Enhance, draft, and maintain policies, procedures, and other compliance-related governance documents
• Handle Market Soundings from external parties and manage trading restrictions and related activities
• Develop and deliver compliance training and education in areas such as information barriers
• Approve requests for expert network calls and access to virtual data rooms
• Implement process enhancements nd support senior management with issue resolution
• Conduct live training and provide support for all MNPI-related online training and education modules
• Assist with planned and inadvertent receipt of material non-public information (“MNPI”)

Key Requirements

• Strong experience in a similar role, ideally within another Buyside organisation
• Understanding of securities laws and knowledge of regulatory requirements applicable to US investment managers, including the Market Abuse Regulation
• Background ideally in fixed income, alternatives, derivatives, commodities or equity strategies offered in a variety of investment products

Please apply directly to this role if you are keen to be considered for this position.