Regulatory Conduct Policy Specialist
Principal Responsibilities
- Act as designated subject matter expert in the field of wholesale/Capital Markets Conduct regulation.
- Actively lead thematic projects aimed at highlighting best practices and clarifying grey areas of business activities in relation to regulatory conduct issues.
- Develop regulatory policy proposals to achieve the strategic aims and outcomes of the business
- Provide informal guidance on the conduct of business and organisational requirements of the COBs / BCOBs Handbook
- Take an active role in leading the content for policy development, including but not limited to MiFID 2, EMiR etc.
- Play an integral Advisory role to the wider regulatory team and associated business functions, supporting and improving the knowledge of less experienced colleagues.
Required Experience
- Proven understanding of the UK financial regulatory regime with a detailed knowledge of the conduct of business ( COBS / BCOBS ) Handbook.
- Strong Wholesale / Capital Markets product knowledge (knowledge of e.g. equities, OTC, bonds, options and/or commodities products and markets) with a practical experience in the application the conduct of business and organisational requirement for these product areas
- Specific order execution expertise covering the best execution as well as a solid understanding of the conflicts of interest framework.
- Strong research and analytical skills with the ability to develop and review policy options objectively and dispassionately.
- An excellent ability to analyse and translate complex issues and make recommendations to or communicate with others verbally and in writing in a way that can be understood by non-technical audiences.
This role will suit a Compliance/Regulatory professional who has strong Product ( Capital Markets/Wholesale Banking) experience who is interested in becoming a proven technical specialist in high profile industry-wide Regulatory Policy ( i.e. MiFID 2). Candidates from a Legal / Consultancy background would also be of interest if they have the required industry subject matter knowledge.
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