The Role: Nigel Wright has been appointed to support Neptune North with multiple hires into their Newcastle office. Neptune North is a Joint Venture between Oliver Wyman and Rokos Capital Management specializing in providing premium technology consulting services.
Neptune North prides itself on employing and developing the very best talent in the North East. If you are keen on a fast‑paced and dynamic environment, offering a prestigious work experience and career development this role could be for you.
Responsibilities
* Compliance Advisory & Investment Support
o Provide pragmatic compliance advice to Investment, Research and Trading teams across fixed income, equities, commodities, derivatives and other products.
o Support decision‑making on new instruments, counterparties, funds, technologies and data/research onboarding.
* Regulatory Advisory
o Analyse and advise on UK, US and international regulatory requirements, including FCA Conduct of Business, prudential rules, SMCR, SEC Investment Adviser regulations, and exchange‑specific obligations (position limits, short‑selling and disclosures).
* Regulatory Change & Governance
o Track regulatory developments and enforcement activity, assess impact, and implement required changes.
o Conduct gap analyses and enhance the compliance framework to meet evolving standards.
* Core Compliance Programme
o Maintain and enhance the firm’s compliance programme, including policy development, periodic reviews, version control and firm‑wide communication.
o Map policies to regulatory requirements across jurisdictions.
o Support regulatory filings (FCA, SEC, FSRA Abu Dhabi, MAS Singapore).
o Maintain filings calendars and disclosures (including short selling).
o Monitor, surveillance & reporting: support the compliance monitoring programme, including thematic and transaction reviews; monitor trading activity and electronic communications for market abuse (Trading Hub, Global Relay); produce MI for best execution and gifts & entertainment governance.
* Training
o Deliver face‑to‑face compliance induction and specialist training (e.g. market abuse, research controls).
o Propose enhancements to training delivery and manage computer‑based training completion.
* Financial Crime
* Support sanctions and AML frameworks and controls.
* Automation & Scale
* Identify opportunities to automate and enhance compliance processes, with a focus on AI‑enabled solutions to support business growth.
* Stakeholder Management
o Prepare materials, dashboards and KPIs for internal committees and senior management.
o Act as a representative of Legal & Compliance, liaising with staff globally, regulators, external advisors and counsel, and providing regular reporting to the Head of Compliance.
Qualifications
* Experience: 3‑5 years relevant experience (less for Assistant role); for a graduate candidate a keen interest and passion to learn and develop.
* Regulatory Knowledge: Strong understanding of FCA regulations, ideally working knowledge of SEC and/or FSRA/MAS rules.
* Product Knowledge: Solid familiarity with fixed income, equities and other financial products.
* Business Alignment: Skill in combining compliance/regulatory expertise with an understanding of products and markets.
* Mindset: Intellectually curious with a genuine interest in financial markets and the regulatory landscape.
* Adaptability: Enthusiasm for multi‑tasking and thriving in a dynamic work environment.
* Ethical Foundation: Discreet, professional, and trustworthy, with strong personal and professional integrity and sound judgment.
* Collaboration: Team‑player approach, holding colleagues to the same standards.
* Drive and Resilience: High energy, drive for excellence, stamina and ability to excel in a fast‑paced environment.
* Relationship Building: Strong relationships within the industry and among peers.
* Academic Success: Minimum 2:1 degree from a Russell Group university, strong A Levels or international equivalents.
* Preferred: Familiarity with exchange rules, position limits, short sale restrictions and disclosures; detailed knowledge of one of SEC, FSRA/MAS rules, or UAE/Singapore management rules.
* Systems: Familiarity with Global Relay, FundApps, Aosphere, TradingHub, Compliance Science, FCA Connect, FCA RegData, FINRA Gateway, EDGAR portal, SEC IARD.
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