Compliance-Birmingham-Associate-Regional Compliance

Overview

In this role you support regulatory engagement and compliance within the ORR and RCC team, ensuring smooth interactions with regulators and robust governance. You will coordinate regulatory inquiries, audits, and reporting across the EMEA region, collaborating with Compliance and business units. You help produce timely data-driven responses and contribute to regulatory change initiatives. You will work with cross-functional teams to strengthen the firm’s regulatory posture and governance. This is an opportunity to shape regulatory processes at a global financial institution with a strong culture of compliance.

Pay / Benefits

• training and development opportunities
• wellness programs
• diversity and inclusion initiatives
• benefits and personal finance offerings
• mindfulness programs
• networking opportunities

Responsibilities

• Interpret and clarify regulatory requests for information
• Identify data sources and assemble data for responses to enquiries
• Coordinate regulatory meetings, audits and reviews with regulators (FCA, PRA)
• Prepare responses to information requests and participate in onsite meetings with regulators
• Support governance and Senior Manager Arrangements framework
• Deliver regulatory programme workstreams and quality-controlled compliance solutions
• Provide analytical support to compliance project managers and teams
• Contribute to working groups on regulatory change implementation
• Produce Compliance Management reporting and materials
• Oversee compilation and reporting of the annual EMEA Compliance business plan
• Lead and participate in conduct initiatives for the EMEA Compliance division
• Facilitate regulatory licensing applications and related fee payments
• Coordinate submission of Compliance-owned non-financial regulatory reports

Key requirements

• Experience in UK Regulatory engagement role or similar function
• Familiarity with UK and/or EU financial services regulatory framework
• Experience in Compliance or a risk-based function
• Experience delivering strategic projects or change management
• Ability to multitask and work under pressure
• Excellent written and spoken communication skills
• Strong interpersonal skills
• Team player with ability to work independently in a fast-moving, high-pressure environment
• Strong analytical and problem-solving skills

• Communication (written and oral)
• Interpersonal skills
• Team player
• Regulatory engagement and coordination
• Regulatory audits and reporting
• Data identification and analysis for regulatory responses

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