Jobs
>
London

    Compliance Associate, Capital Markets - London, United Kingdom - Ocorian

    Ocorian
    Ocorian London, United Kingdom

    1 week ago

    Default job background
    Full time
    Description
    Job Description

    Purpose of the Job

    The Capital Markets team gives specialist advice on detailed regulatory requirements and delivers complex regulatory implementation projects. The team also participates in marketing and business development, technical research, and the production of technical materials.

    Our Associates support with the delivery of this work while also choosing specialist areas of development. We are looking for individuals eager to become subject matter experts and to build a career in consulting.

    This position is particularly suited to individuals with a regulatory compliance background seeking a diverse role with a strong emphasis on client delivery.

    Main Responsibilities

    • Assisting with advice and support on a variety of regulatory compliance matters including authorisation applications and variations of permissions.
    • Involvement in project work, compliance health checks and periodic monitoring for clients
    • Drafting and maintaining policies, procedures, and compliance monitoring programmes.
    • Developing training materials and assisting in delivering training sessions.
    • Assisting with regulatory matters including authorisation applications, variations of permission and changes of control.
    • Carrying out compliance health checks and periodic monitoring (including client file reviews)
    • Arranging and helping to prepare for client meetings.
    • Assisting the team with marketing and business development activities which may include preparing proposals and draft engagement letters, writing articles for publication (website & social media) and preparing marketing materials.
    • Actively engaging with clients and identifying opportunities to increase Bovill's client base by performing market research and identifying new prospects.
    • Participation in and potential facilitation of events, roundtable discussions, and training sessions on topical regulatory issues.
    • Responding to ad-hoc and routine regulatory queries.
    Qualifications

    We are looking for individuals who have:

    • Compliance-related experience gained in a trading venue, investment bank, financial institution, legal practice, consultancy and/or the regulator.
    • Experience in any of the following areas is desirable: CASS, Transaction Reporting, Market Abuse, Financial Crime, Benchmarks, Authorisations
    • Understanding of the FCA's approach to regulation
    • Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions.
    • An aptitude for consulting and a desire to learn compliance regulation in the capital markets sector.
    • A passion for problem-solving and a keen interest in learning how to manage relationships with clients and the wider team.
    • Exceptional communication skills and high attention to detail are essential.
    Additional Information

    All staff are expected to embody our core values that underpin everything that we do and that reflect the skills and behaviours we all need to be successful. These are:

    • We areCLIENT CENTRIC – Clients are at the centre of our world, and we're committed to providing expertise and specialist solutions to meet their most complex challenges.
    • We are AMBITIOUS – We aim high. We think and act globally, seizing every opportunity to delight our clients and support our colleagues - wherever in the world they may be.
    • We are AGILE – We act on our initiative to get things done for our clients. Our independence gives us the flexibility and freedom to keep things simple, efficient and effective.
    • We are COLLABORATIVE – With a curious mindset, we ask the right questions to get to the right solution, for our clients faster. We collaborate to win together and share our successes.
    • We are ETHICAL – We behave with integrity at all times and assume positive intent, building trust through responsible actions and honest relationships.
  • Citi

    Capital Markets

    1 week ago

    Citi London, United Kingdom

    **Come, work with us** · Citi, the world leading global bank, has approximately 200 million customer accounts and a presence in more than 160 countries and jurisdictions worldwide. Citi provides consumers, corporations, governments, and institutions with a broad range of financia ...

  • eFinancialCareers

    Capital Markets Consultant

    1 week ago

    eFinancialCareers London, United Kingdom

    **Capital Markets Consultant** · Location: London with £55-65k Salary · **Overview** · Our client is a FTSE 250 global leader in IT services generating over £12 billion as a consulting practice with a rich client portfolio. Joining this dynamic team as a **Capital Markets Consult ...

  • RSM UK

    Capital Markets Associate

    3 days ago

    RSM UK London, United Kingdom

    We are looking to welcome an Associate who can support the continued success of our market leading Capital Markets Transactions team. Our new colleague will assist in the execution of Capital Markets assignments including IPO's, fundraisings, acquisitions and disposals and suppor ...

  • Projective

    Capital Markets Consultant

    4 days ago

    Projective London, United Kingdom

    **Capital Markets Consultant** - A refreshingly different Consultancy Firm** · **Do you have previous **Capital Markets **experience?** · We are the Projective Group, a Financial Services Consultancy firm, experts in business, technology, and innovation consulting and change, exc ...

  • eFinancialCareers

    Capital Markets Consulting

    9 hours ago

    eFinancialCareers London, United Kingdom

    Key Skills & Requirements · - Experience within Capital Markets Management Consulting (knowledge of F2B trade lifecycle) · - Extensive exposure to regulatory projects eg, Dodd Frank, MIFID II, EMIR · - Experience as a Project Manager, Programme Manager OR Business Analyst · - Goo ...

  • STA Ltd

    Capital Markets Trader

    1 day ago

    STA Ltd London, United Kingdom

    _**Capital Markets Trader (Assistant) // STA Ltd Company**_ · '''Duties''' · - Conduct market research and analysis to identify investment opportunities · - Monitor financial news and trends to stay informed about market conditions · - Assist in the development of investment stra ...

  • eFinancialCareers

    Capital Markets Consultant

    1 week ago

    eFinancialCareers London, United Kingdom

    Capital Markets Consultant · Base Salary - £55,000 - £65,000 · London based · Are you interested in joining a global leader in Digital Services and Consulting? Are you engrossed in the Banking and Financial Services sector? Does joining a rapidly growing team and being a key part ...

  • eFinancialCareers

    Capital Markets CTO

    1 week ago

    eFinancialCareers London, United Kingdom

    **Responsibilities**: · - Develop and execute our Cleared Derivatives Technology Strategy · - Collaborate with executive team to formulate, evolve, and realize the strategic vision · - Own the technical strategy / roadmap for ongoing evolution of products in line with the product ...

  • Chadwick Nott

    Capital Markets 2+ Pqe

    1 week ago

    Chadwick Nott London, United Kingdom

    **CAPITAL MARKETS 2+ PQE** · **LONDON** · **UP TO £220,000** · This highly regarded London based Corporate group is looking to recruit a common law qualified lawyer into it's Capital Markets team. You will be charged with advising on a mix of equity capital markets (ECM) and debt ...

  • Knight Frank

    Capital Markets Researcher, Associate

    5 days ago

    Knight Frank London, United Kingdom

    Contract Type- Permanent- Employment Type- Full-Time- Working Requirements- Dynamic Working- Hours- 9:30am to 5:30pm- Salary- Competitive- Division- Commercial- Location- 55 Baker StreetReporting to Head of Capital Markets Research · **Scope** · We are the world's leading indepen ...

  • eFinancialCareers

    Capital Markets Senior Consultant

    1 week ago

    eFinancialCareers London, United Kingdom

    **Capital Markets Senior Consultant** · Location: London with £65-80k Salary · **Overview** · Our client is a FTSE 250 global leader in IT services generating over £12 billion as a consulting practice with a rich client portfolio. Joining this dynamic team as a **Capital Markets ...

  • tlg talent

    Capital Markets Risk Technology

    2 days ago

    tlg talent London, United Kingdom

    Capital Markets Risk Technology - Senior Consultant · Financial risk, Capital risk, Market risk · Our clients UK Capital Markets technology and data capability helps their investment banking clients to deliver complex business and regulatory transformation, enabled by technology. ...

  • eFinancialCareers

    Capital Markets Delivery Engineer

    3 days ago

    eFinancialCareers London, United Kingdom

    **Main function of the job**: · (Note: In addition to these functions employees are required to carry out such other duties as may reasonably be required) · **Responsibilities**: · - Contribute to the overall project plan, financials and risks by working with the change managers ...

  • BCT Resourcing

    Debt Capital Markets Manager

    1 week ago

    BCT Resourcing London, United Kingdom

    **Debt Capital Markets Senior Manager** · **London** · **£80,000 - £100,000 per annum** · I have an opportunity for a Debt Capital Markets professional to join a leading specialist lender at Senior Manager level. · - Permanent · - Up to £100,000 + benefits · - 2 days per week in ...

  • Société Générale

    Trainee - Leveraged Capital Markets

    4 days ago

    Société Générale London, United Kingdom

    **Responsibilities**: · Are you an aspiring professional looking to launch your career in the exciting world of leveraged capital markets? Then this is the position for you · We are looking for a Trainee to join our European Leveraged Capital Markets team. The team is responsible ...

  • Bovill

    Compliance Associate, Capital Markets

    2 days ago

    Bovill London, United Kingdom

    **Bovill is a global financial services regulatory consultancy with offices in London, Singapore, Hong Kong, and the Americas. We work with clients internationally on every element of regulation. We help firms build projects to respond to significant regulatory change or give the ...

  • R3

    Capital Markets Sales Intern

    1 week ago

    R3 London, United Kingdom

    The R3 Sales team is seeking an energetic, passionate and tech savvy individual to support the team; in this role, you will assist the team in the adoption of R3's Corda platform enterprise software solutions for Capital Markets in EMEA. You'll need to have strong communication a ...

  • Cosegic

    Associate Director Capital Markets

    6 days ago

    Cosegic London, United Kingdom

    POSTED BY · - Loredana Ungur- RecruiterFollow · Cosegic is one of the UK's leading compliance consultancies that provides assistance with FCA Authorisation, ongoing compliance consulting, prudential services, compliance health checks and regulatory projects. We also provide onlin ...

  • Northern Trust Corp.

    Capital Markets Regulatory Specialist

    3 days ago

    Northern Trust Corp. London, United Kingdom

    About Northern Trust: · Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. · Northern Trust is proud to provide innovative financial services and guidance to the world's most succe ...

  • Société Générale

    Trainee - Debt Capital Markets

    2 days ago

    Société Générale London, United Kingdom

    **Responsibilities**: · Are you interested in joining an Investment Banking division of a leading international financial institution? We are looking for an individual to join our Debt Capital Markets (DCM) platform and help clients raise funds on the international bond markets. ...