Central Compliance Manager / AVP
This is to work with them on a contract basis providing support across individual employee compliance matters such as Personal Account Dealing (PA dealing), outside business interests (OBIs) and the giving and receiving of gifts and entertainment (GE) in the following areas:
- Helping to evaluate the impact of new financial regulations on central compliance
- Oversee the surveillance/monitoring of central compliance to identify non-compliance
- Assist with policy review and process improvements for central compliance
- Own the maintenance of the policies and procedures for central compliance
- Build relationships with the business stakeholders
Requirements:
- Must have proven central compliance experience i.e. PA dealing, OBIs, and GE
- Must have an excellent understanding of the regulatory principles and rules for central compliance
- This experience must be from a global investment bank
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