28 Regulatory Analyst jobs in London

LMAX Group is expanding its Treasury Risk & ALM team to support the efficient management of capital and liquidity across the Group’s legal entities.

This includes the development of a regulatory reporting role to address the increasing complexity of liquidity management, Treasury risk and regulatory requirements. The role also involves developing analytics for governance committees across the Group and supporting the ICARA process.

Responsibilities:

Regulatory Reporting and Requirements :

• Ensure compliance with all applicable regulatory requirements, including K-factors, and prepare regulatory reports for internal and external stakeholders.
• Stay up to date with regulatory guidance.
• Assist in the preparation of annual disclosures.
• Assist in the preparation of ICARA assessments and related policies / frameworks, including business model analysis, risk assessments, capital & liquidity adequacy, and recovery and wind-down planning. 

Liquidity management:

• Oversee daily short-term cash flows and ensure sufficient liquidity to meet obligations.
• Monitor risk appetite and limits.
• Manage large exposures.

Capital planning:

• Collaborate with Financial Planning to develop medium-term capital plans for the Group and legal entities.

RMC (Risk Management Committee) and Board meeting:

• Prepare management information for internal committees and the Boards of entities within the Group.

ALM framework:

• Support the Treasury Risk & ALM team lead on various ongoing and ad hoc projects, including

- Optimising cash, collateral, liquidity position, market risk, and balance sheet impact.

- Development of daily Treasury risk monitoring metrics.

- Enhancing the Treasury risk Management Framework.

• Engage in business partnering and assess the impact of new products and processes.

Stress Testing & Scenario Analysis:

• Assist in developing and executing stress tests on interest rates, liquidity crises, and capital adequacy to ensure regulated entities can withstand adverse scenarios.

Requirements

Essential Skills / Experience:

• Solid experience in capital and liquidity regulatory reporting, treasury, or finance, ideally within an SME, broker, or consultancy environment.
• Proven ability to interpret regulatory requirements. Good knowledge in balance sheet management, capital, and liquidity risk management.
• Good understanding of the Treasury ALM framework.
• Working knowledge of financial services industry, particularly capital markets
• Advanced proficiency in Excel is essential, with basic understanding of Power BI. Comfortable working with large volumes of data.
• Excellent communication skills, with the ability to engage effectively with stakeholders at all levels.

Desirable Skills / Experience:

• Experience in SME and Broker environments is ideal.
• Degree in Finance, Mathematics, Business, or Law preferred.
• Relevant accounting or financial qualification (ACT, ACCA and CFA); part-qualified candidates will be considered.
• Knowledge of, or interest in, financial products traded by the firm.

Benefits

• 25 days of holiday 
• Bonus 
• Pension contribution 
• Private medical, dental, and vision coverage 
• Life assurance 
• Critical illness cover 
• Wellness contribution program with access to ClassPass 
• Plumm Platform 
• Five volunteering days 
• Give as You Earn initiative 
• Learning and development programs 
• Electric Vehicle Scheme 
• Cycle to Work Scheme 
• Season Ticket Loan 

An excellent opportunity has arisen at a leading Investment bank for someone with a Compliance / Regulatory background who is good with excel to join the Regulatory Compliance Team focusing on all new regulatory initiatives / regulatory projects across the bank.

Some of the duties within the team include, but are not limited to:

• Performing horizon scanning to identify regulatory developments
• Drafting of regulatory round up to bring key regulatory developments to the attention of a wide range of stakeholders across the bank.
• Performing initial triage of regulatory change matters relating to Compliance and sharing results with Compliance Advisory, as appropriate.
• Facilitating initial impact assessment processes in accordance with the processes of the Regulatory Developments team.

The team has full coverage of all regulatory projects across Investment Banking, Investment Management and Wealth Management. They are at the forefront of any new regulatory change or initiative. They regularly interact and liaise with the senior stakeholders of all business units across the bank.

This is an excellent opportunity for someone at the early stages of their career to gain exposure across all regulations, with unbelievable career development opportunities and a generous remuneration package.

A prestigious international Bank is seeking a dynamic individual to join its Compliance area. Your role will involve supporting the Head of Compliance to ensure full adherence to UK regulations and the expectations of local regulators.

Responsibilities will include:

• Providing guidance and training to staff regarding compliance and UK Data Protection Regulations, PRA/FCA Outsourcing, third-party risk management and Senior Managers & Certification Regime
li>Conducting compliance monitoring programmes and reporting findings
• Reviewing/maintaining the London office policy & procedure and framework on compliance with UK GDPR/data protection
• Reviewing the London office framework on compliance with PRA/FCA and Senior Managers & Certification Regime
• Assisting business areas with implementation plans for any policy/procedural changes   
< i>Assisting with monitoring activities regarding Conduct Risk, Operational Resilience etc
• Preparing various compliance reports

Your experience must include:  

li>Strong proven experience in regulatory compliance gained within banking – including compliance regarding Data Protection, PRA/FCA Outsourcing and third-party risk management < i>Excellent presentation skills – both oral and written < i>Good understanding of PRA/FCA,  Senior Managers & Certification Regime, regulatory reporting and risk management framework    Strong IT skills   li>A proactive “hands-on” approach, showing initiative to assist with projects

Please note this role will be working 5 days a week in the office for the first month, transitioning to hybrid thereafter (3 days in the office and 2 days remote).

A prestigious international Bank is seeking a dynamic individual to join its Compliance area. Your role will involve supporting the Head of Compliance to ensure full adherence to UK regulations and the expectations of local regulators.

Responsibilities will include:

• Providing guidance and training to staff regarding compliance and UK Data Protection Regulations, PRA/FCA Outsourcing, third-party risk management and Senior Managers & Certification Regime
li>Conducting compliance monitoring programmes and reporting findings
• Reviewing/maintaining the London office policy & procedure and framework on compliance with UK GDPR/data protection
• Reviewing the London office framework on compliance with PRA/FCA and Senior Managers & Certification Regime
• Assisting business areas with implementation plans for any policy/procedural changes   
< i>Assisting with monitoring activities regarding Conduct Risk, Operational Resilience etc
• Preparing various compliance reports

Your experience must include:  

li>Strong proven experience in regulatory compliance gained within banking – including compliance regarding Data Protection, PRA/FCA Outsourcing and third-party risk management < i>Excellent presentation skills – both oral and written < i>Good understanding of PRA/FCA,  Senior Managers & Certification Regime, regulatory reporting and risk management framework    Strong IT skills   li>A proactive “hands-on” approach, showing initiative to assist with projects

Please note this role will be working 5 days a week in the office for the first month, transitioning to hybrid thereafter (3 days in the office and 2 days remote).

Sponsorship will not be available for this position, therefore 3+ years on visa eligibility to work in UK is essential.

Our client, a highly respected Bank, is seeking a Manager – Regulatory Compliance to join their team on a permanent basis.

This position forms an integral part of 2nd Line of Defence and the successful candidate will also be performing regular and comprehensive compliance risk assessments according to the approved compliance plan, report on a regular basis on compliance identified breaches and corrective actions taken, as applicable.

Under direction, draft the Scope of Regulatory Compliance oversight as part of the annual plan and adhere to the plan by performing reviews and following up on outstanding actions.

Responsibilities (but not limited to):
•    Determine the processes and sub-processes, including input, processing and output.
•    Perform an end-to-end review of each process and determine relevant risks and controls.
•    Undertake root-cause analysis to address and mitigate the identified risks and recommend adequate remedial action.
•    Facilitate controls gap analysis, remediation planning and testing for all business units.
•    Ensure that the controls are efficient and effective, thus maintaining risks at an acceptable level.
•    Ensure that the processes are in compliance with regulatory requirements and best practices, at governance, oversight and operational levels.
•    Provide counsel and advice to the various functions in view of enhancing the control structure.
•    Review the branch’s policies, procedures and systems, before implementation, in order to assess the inherent risks, determine sufficiency of controls, and convey approval.
•    Undertake a continuous Control Self-Assessment exercise.
•    Maintain an updated Compliance Risk Register detailing the determined Compliance risks.

Qualifications and Skills:
•    University graduate preferably with a Major in Marketing, Banking, Finance, Accounting, Economics, Business Administration or Information Technology (related field of study).
•    At least 6 years of relevant experience, preferably in banking within a highly rated international bank. Also experience with regulated mortgages, savings accounts and fixed term deposits.
•    Excellent oral and written communication skills (including report writing) in English.
•    Awareness of customer relationship practices and regulations.

For more information on this role please contact Sonia Smith by sending your CV quoting ref 16905SS.

At Zango, we’re training AI agents to read and interpret complex regulations thereby turning regulation into code. In less than 12 months since incorporation, we’ve partnered with some of the world’s largest financial institutions and raised significant backing from top-tier investors.

Our mission is to help financial institutions stay ahead of regulatory change, so they can launch new products and expand into new markets 10x faster without hitting compliance bottlenecks.

We’re looking for a financial services Compliance Subject Matter Expert (SME) who brings hands-on experience from working in the second line of defence in implementing compliance frameworks, maintaining governance registers, and designing and testing controls for effectiveness.

This is a unique opportunity: compliance and legal functions are going through a massive disruption for the first time being reshaped by AI . At Zango, you’ll sit at the intersection of technology and clients, helping senior stakeholders navigate this shift with confidence while directly shaping how AI transforms compliance.

• Engage senior stakeholders as a trusted advisor on compliance and regulatory change.

• Apply hands-on second line of defence experience (obligations extraction, gap analysis, controls design, testing effectiveness) to client challenges.

• Lead client conversations from initial interest through to contract and onboarding.

• Build long-term relationships that open up growth across business lines and jurisdictions.

• Bring client insights into Zango to help shape product and go-to-market strategy.

• 6–10 years’ experience in financial services compliance, regulatory advisory, or consulting in the UK/EU

• Hands-on second line of defence experience: implementing frameworks, governance registers, designing and testing controls.

• Client-facing experience with senior stakeholders; able to engage as a peer and build trust.

• Entrepreneurial bend – proven by times where you’ve created, or built something from scratch. This is one of the most important things we’ll look for in this role to assess fit.

This positions the role as part practitioner, part advisor, with the AI disruption angle front and center .

Location: London (Hybrid)

Duration: 6 months

Rate: £650 –£ 800 per day (inside IR35)

We are supporting a global financial services firm who is hiring an experienced compliance professional to lead regulatory mapping initiatives across its trading venue and financial crime domains. This is a high-impact contract role with a focus on MiFID II, MiFIR, MAR, and AML regulations within a dynamic, cross-functional environment.

Key Responsibilities:

• Lead end-to-end regulatory obligation mapping for MTF and AML domains
• Link legal and regulatory obligations to internal controls and documentation
• Monitor regulatory change and manage trigger events
• Collaborate with Legal, Risk, and Business stakeholders to ensure accuracy and traceability
• Present management information to senior leadership, auditors, and regulators
• Support enterprise risk management and challenge first-line control design

Ideal Candidate:

• 8+ years’ experience in Compliance, Legal, Risk, or Internal Audit
• Strong knowledge of MiFID II, MiFIR, MAR, and AML regulations
• Hands-on experience with regulatory mapping in a trading or financial services environment
• Excellent communication and stakeholder management skills
• Proven ability to lead cross-functional initiatives and deliver under pressure

This is a fantastic opportunity for a regulatory specialist to contribute to a strategic compliance program within a globally recognised firm.