Compliance Consultant
London

Vacancy reference: LON-COM-00338

Location: London

Employment type: Fixed Term

Department: Compliance

 

Do you have at least 10 years’ experience of working in Financial Services in Compliance?

Have you been involved in the design and implementation of first line trading systems, transaction reporting arrangements or best execution governance?

Do you have a proven track record in delivering significant regulatory change projects at multiple financial services organisations?

We have a new role as a Compliance team regulatory subject matter (‘SME’) expert for advice work relating to client order handling, best execution, clearing, settlement, market infrastructure and transaction reporting to provide SME advice to the business on applicable rules and regulations and strategic compliance guidance on complex regulatory queries

We have an excellent opportunity to help design and implement first line trading systems and associated control arrangements.  We are looking for a Compliance Consultant who has specific experience and technical expertise in best execution, transaction/trade reporting.  You will need to have excellent working knowledge of MiFID II & MiFIR.

Key Responsibilities of the role:

  • Maintaining an excellent working knowledge of FCA and PRA rules impacting the Group
  • Being the Compliance team regulatory subject matter (‘SME’) expert for advice work relating to client order handling, best execution, clearing, settlement, market infrastructure and transaction reporting to provide SME advice to the business on applicable rules and regulations and strategic compliance guidance on complex regulatory queries
  • Planning for and delivering small and medium sized regulatory change projects when required or other compliance initiatives
  • Supporting the business, when requested to do so,  in the implementation of actions arising from regular and thematic Compliance Monitoring activity 
  • Preparing and delivering presentations on relevant subjects to both senior management of the Group, and to external audiences as needed
  • Taking responsibility for designing, producing and managing compliance processes and management information and supporting specific business areas as requested
  • Advising the Group on regulatory matters associated with new corporate development initiatives
  • Contributing to the delivery of timely and effective reporting to the Boards, Committees and Forums, Group Counsel and Senior Compliance Managers on Compliance activity and projects.

 

To be considered for this role you will need in-depth practical knowledge and understanding of, and the ability to apply, FCA, PRA and European rules and guidance particularly those relating to COBS, MiFID II, MiFIR and CSDR.  You must have a consulting or advisory background with specific experience in best execution, transaction/trade reporting, governance and control arrangements for dealing systems.  You should also have been heavily involved with MiFID II/MiFIR analysis and implementation and experience working for MiFID Investment firm(s) servicing retail and professional clients.

About us:

Transact is the leading independent investment wrap platform in the UK.  Established in 2000, we have over £37 billion of funds under direction (as at September 2019) on behalf of over 5,700 advisers and 173,000 investor clients.  Our service includes an online platform, owned and built by us, and dedicated regional adviser support to help bring clients' assets and investments together in a smarter, more tax efficient way. We offer access to a wide range of tax wrappers (including ISAs, pensions and life insurance investment bonds) and funds which advisers use to build client investment portfolios. Portfolio valuations, purchases and sales are all supported via Transact Online which is available 24/7.  Transact's parent company, IntegraFin Holdings plc, is listed on the London Stock Exchange and is a constituent of the FTSE 250 index.

We have been rated the number one investment platform in independent surveys conducted by CoreData and Investment Trends for the last ten consecutive years (2010-2019), once again topping major categories including Overall Satisfaction, Investment Capabilities and Adviser Support Services in the 2019 Investment Trends survey.  We are proud to have been voted Platform of the Decade at the 2016 UK Platform Awards, and in 2017 we won eight awards including FT Adviser’s 5 Star Investment and Investment Innovation award. In 2018 our awards included Platforum's Best Adviser Platform over £10bn, as well as Professional Paraplanner's Best Platform and Best Overall Service - Existing Business awards, and our 2019 haul so far includes Professional Adviser's Best Platform for Advisers (AUA over £20bn) and Professional Paraplanner's Best Platform award.

Equal Opps

We provide a diverse and inclusive workplace and ensure that all of our staff respect and understand individual differences.  We are an equal opportunities employer and positively encourage applications from suitably qualified and eligible candidates regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, religion or belief, sex or sexual orientation.

 

 

The closing date for this vacancy has now passed.

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