Compliance Regulatory Audits and Enquiries, VP – New York – ECC47251

New York
Posted 8 years ago

Job Summary & Responsibilities


The Regulatory Audits and Enquiries function handles enquiries from regulators in EMEA, primarily from the FCA (for example from the Market Conduct Department). The team’s responsibilities also include the management of regulatory audits by the FCA (which typically involve onsite meetings). Due to the broad range of audits and enquiries, the role offers exposure to all areas of the firm and across multiple product types.


• Interpretation of regulatory requests for information.
• Obtaining and reviewing data enabling the candidate to formalize the firm’s response to the enquiry. This may include trading data, copies of electronic communications and voice recordings, client documentation, etc.
• Liaising closely with other Compliance areas and Legal, as well as other areas of the firm, to ensure completeness of data for a response, to seek specialist input and/or to highlight potentially suspicious activity (for example, to the Financial Crime Compliance team).
• Working with Technology, Operations and other areas within Compliance, or the business, to enhance the speed and ease of obtaining information.
• Liaising with the FCA to co-ordinate and arrange regulatory audits and reviews.
• Working with other Compliance areas and the business to produce responses to information requests ahead of such audits/reviews; assist in the preparation for, and attend, related onsite meetings with the FCA.


• Graduate, preferably with a Finance related or Legal degree.
• Minimum of five years’ experience in a financial services-related environment. Previous Compliance experience is not a pre-requisite. Background in  derivatives trading/Operations (or Legal) of particular interest.
• Must understand the importance of and be able to work to tight deadlines.
• Keen to learn new information, adopt new skills and with the ability to identify and make improvements to systems and processes.
• Calm, with good oral, interpersonal and written communications skills and an authoritative manner.
• Concern for accuracy, with good attention to detail.


Excellence Corporate Consulting is an equal opportunity employer. © The Excellence Corporate Consulting, Inc., 2017. All rights reserved.

Job Features

Job CategoryCompliance
Job TypeFTE
Job LocationNew York

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