About Us
Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.
Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.
We have 4,600 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions – Global Advisory, Wealth Management, Asset Management and Five Arrows.
As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.
Rothschild & Co is committed to an inclusive and supportive environment where different perspectives are valued. We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.
Overview of Role
UK GA Compliance provides day-to-day Compliance advisory services to the private-side Global Advisory (“GA”) Corporate Finance/M&A, Capital Markets and Investor Advisory divisions in the UK, Middle East, and parts of Austral-Asia. This role is in the GA Compliance team, reporting into the Head UK GA Compliance, and is located in Capital House.
Responsibilities
Providing compliance coverage of Corporate Finance/M&A, Capital Markets and Investor Advisory transactions in the UK, Sweden, Netherlands, Israel and managing the UK GA Compliance Advisory team
Providing effective second line “check and challenge” to assist GA in meeting its conduct and regulatory obligations.
Participating in transaction-specific committees, including GA Risk, New Client Acceptance, Due Diligence and Sponsor Take-On Committees.
Advising on regulatory requirements including, but not limited to, the FCA Handbook, MAR and MiFID.
Providing subject matter expertise in relation to the UK Takeover Code and Listing Rule 8, and supporting interactions with the UK Takeover Panel and the Sponsor supervision team at the FCA, supported by a Specialist Advisory team.
Providing input to Conflicts Compliance conflicts reviews.
Advising GA on record-keeping aspects of the FCA Handbook, MAR and MiFID.
Advising on Group policies and procedures from a GA perspective.
Providing compliance input into new products, technology and AI initiatives.
Alongside GA Front Office, developing GA-specific policies and guidance to assist GA to understand and comply with its conduct and regulatory obligations.
Developing and delivering training.
Providing compliance support in the interpretation and implementation of new regulation.
Leading and participating in compliance projects and initiatives.
Liaising with overseas offices on cross-border issues.
Partnering with internal stakeholders including Legal, Audit and IT, as well as the Front Office.
Working with the Compliance Monitoring and Assurance team to ensure the delivery of a robust Compliance monitoring programme.
Experience, Skills and Competencies Required
Experience
Experience gained within the Legal or Compliance departments of an investment bank.
Corporate transactional experience of UK Takeover Code and FCA Sponsor transactions, gained in a top tier law firm, or compliance or COO function of a financial services institution would be an advantage.
Knowledge and understanding in relation to the UK Takeover Code, UK Listing Rules, the Transparency Rules, the Disclosure Guidance.
Core Competencies
Methodical, structured and rigorous approach to delivery.
Demonstrable prioritisation skills and experience of managing time-pressured requests from GA Front Office.
Strong analytical skills with a good eye for detail and the judgement to identify potential conduct issues, develop strategies to mitigate risk and to escalate as appropriate.
A developing business judgement and commercial awareness.
Demonstrable ability to foster strong working relationships globally, with both Compliance and Senior Management colleagues, and to successfully negotiate and influence behaviours.
Strong written and oral communication skills.
Motivated, proactive approach, capable of independent problem-solving and resolution.
Integrity, high sense of discretion and confidentiality.
Our goal is to have a balanced, inclusive and flexible environment which enables all colleagues to achieve their personal and professional aspirations, and to ensure that Rothschild & Co provides longer term opportunities for talent.
