Compliance Advisor (Senior) recruitment
Prime purpose of this role:
Provide leadership, support and direction to a team of Compliance Officers who have direct responsibility for providing advice and support on compliance and regulatory matters to Front Office and support functions in connection with Commerzbank London’s business activities.
Key Responsibilities:
- Liaise with Team Head and participate in the leadership and management of the Markets Advisory Compliance function.
- Manage Compliance resources, in particular the performance of team members and their development.
- Ensure his/her team’s work is aligned to achievement of the plan for the Markets team and compliance with internal requirements.
- Provide advice and guidance to business areas to promote compliance with regulatory requirements and Group Compliance policies.
- Assist with business development, providing advice on Compliance strategy and solutions, and regulatory policy where appropriate.
- Interact with regulators, exchanges and industry bodies, as required.
- Undertake or assist with ad hoc project work, providing analysis and making recommendations, as required.
- Develop and implement Compliance policies and procedures to reflect regulatory obligations applying to the business, working with other members of Compliance and business, as required.
- Identify training needs within input to the training plan for the team. Develop training materials and carry out Compliance training, both general and specific, in line with team plan.
- Develop own professional expertise through on the job training, and continued attention to key papers and themes of focus in the sphere of UK regulation. Identify and keep in view the impact of regulatory developments.
- Represent Commerzbank at industry fora and maintain links to Compliance networks.
- Deputise for Head of Markets Advisory Compliance as required.
Management Responsibility:
Responsible for one or more Compliance Officers.
Internal company contacts:
- Desk Heads and business management
- Management in other support functions
- Compliance colleagues in London and other group offices
External company contacts:
Exchanges, regulators and industry bodies
Key Competencies:
- Strategic orientation
- Customer Service orientation
- Change orientation
- Initiative and goal orientation
- Analytical skills
- Conceptual skills
- Decision-making skills
- Planning and organisation
- Persuasiveness
- Information management
- Cooperation
- Conflict management
- Personnel Development
- Relationship management
- Personal Resource Management
- Leadership
Technical skills:
- Professional qualification or a number of years of relevant work experience of businesses covered or Compliance management.
- Ability to lead staff and provide for their professional development
- Good understanding of local Compliance policies and requirements
- Ability to pro-actively liaise with Front Office at a practical level
- Ability to analyse and interpret regulations
- Ability to identify key issues and escalate them in a timely manner
May 10, 2012
• Tags: Compliance, Compliance Advisor (Senior) recruitment, Legal careers in the UK • Posted in: Financial