Regulatory Liaison, Vice President

A leading global financial services group with an integrated network spanning approximately 30 countries and regions. Renowned for connecting markets across geographies, the firm serves individuals, institutions, corporates, and governments through its diverse business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking), and Banking. Built on a tradition of disciplined entrepreneurship, the organisation is committed to delivering creative solutions and thought leadership.

Role Overview:

Key objectives critical to success include:

• Acting as lead for a portfolio of regulatory liaison coverage and supporting the team in their role as a central point of contact between regulators (e.g., PRA, FCA) and the firm.
• Attending regulatory meetings across conduct and prudential issues while taking detailed notes.
• Ensuring action points related to regulatory requests are promptly addressed, including information requests or other issues raised by regulators.
• Coordinating regulatory examinations or investigations as required.
• Assisting colleagues in building strong relationships with regulators and understanding their requirements and working methods. This involves fostering relationships across business and control functions, including senior management.
• Engaging with compliance staff across the EMEA region to facilitate a coordinated approach to regulatory affairs.
• Staying informed about the firm’s business, products, and regulatory environment to contribute to effective compliance policies and standards.
• Providing updates to senior management on key regulatory developments.
• Escalating significant compliance issues or regulatory relationship matters to the Head of Regulatory Affairs.
• Producing compliance management information and metrics to inform senior stakeholders about key regulatory relationship issues.
• Coordinating communication with counterparts in other regions regarding material regulatory issues arising in EMEA.
• Maintaining systems and controls to ensure proper record keeping for regulatory liaison activities.
• Promoting compliance awareness and strong regulatory relationships across the firm.

Skills, Experience, Qualifications, and Knowledge Required:

• Degree or equivalent professional qualification.
• Experience in financial services with a solid understanding of current/emerging regulatory issues for wholesale investment firms.
• Previous experience in a Regulatory Liaison role managing relationships with regulators such as PRA/FCA.
• Proven ability to coordinate cross-functional communications, responses, and reviews related to regulatory matters.
• Strong written/verbal communication skills and relationship management abilities across all levels of seniority within an organisation.
• Demonstrated ability to analyse complex cross-functional matters and summarise them effectively for various audiences.
• Resilience under pressure with strong prioritisation skills.
• Proficiency in MS Office tools (Word, PowerPoint, Excel).

Competencies:

1. Explore Insights & Vision: Identify root causes of challenges faced by your team and define clear future directions.
2. Making Strategic Decisions: Evaluate options effectively and prioritise actions/recommendations accordingly.
3. Inspire Entrepreneurship in People: Motivate team members through clear communication of ideas to enhance productivity actively.
4. Elevate Organisational Capability: Promote knowledge sharing while engaging proactively in professional development initiatives.

Diversity & Inclusion Statement:

The organisation values diversity and is committed to creating an inclusive environment that reflects the communities it serves. Applications are welcomed from all backgrounds without discrimination based on age, disability, gender identity/expression, pregnancy/maternity status, marriage/civil partnership status, race, religion/belief, sex, or sexual orientation.

Reasonable adjustments for candidates with disabilities or long-term health conditions will be provided upon request.

Right to Work Information:

Applicants requiring sponsorship under Tier 2 Skilled Worker visas will be considered if evidence can be provided that this is a genuine vacancy for a qualified role.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates