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Team Leader, Regulatory Compliance

  • Salary: £60000 - £65000 per annum
  • Location: London
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    21 Aug 2018
  • Job reference: 30914

Leading investment management and stockboking firm currently looking to appoint a Team Leader within the London regulatory compliance team to support the private banking division. The team is pivotal in ensuring the Bank adheres and complies with laws and regulations relating to regulatory compliance by having in place sufficient systems, controls, policies and processes and through challenge and oversight of the business.


  • To work closely with the Head of Regulatory Compliance UK in planning engagement strategy and activity across the firm, understanding the perceived integrity of the team and respect for team output is fundamental to effective impact upon the business
  • Provide quality assurance oversight for Analysts when undergoing reviews, constructively challenging the robustness of methods and findings
  • To develop independent leadership for areas in the business over time such as compliance training, Meeting schedules and formats, internship/work experience programmes
  • Liaise with stakeholders on review findings and agreeing practical recommendations
  • To identify and investigate any current or future potential compliance risks in the bank and escalate to the Head of Regulatory Compliance UK where necessary
  • To maintain knowledge of applicable legislation and best industry practice, including relevant parts of the FCA handbook
  • Mentoring of Analysts within the team, acting as a first port of call for coaching, ideas and queries
  • To assist the business as and when required on compliance related queries, by providing advice and guidance, outlining options and recommending solutions as appropriate
  • To assist in the review and update of department procedures and drive system and process improvements

Required knowledge, skills and experience:

  • A Team Leader will be an individual with relevant experience of stockbroking compliance
  • Takeover panel checks
  • Capable of sharing knowledge to enhance team skills
  • The ability to communicate clearly and effectively with all members of staff.
  • Acts as a positive role model for Analysts
  • A passion for investigation with excellent written and verbal communication skills to convey your findings to all levels of personnel

Good knowledge and understanding of stockbroking and regulation, particularly:

  • Suitability and appropriateness
  • CASS
  • PRIIPs
  • Complaints handling
  • Breaches and error reporting/monitoring
  • Transaction reporting checks

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

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