Compliance Advisory

Financial Markets Compliance Advisory Assistant Manager

Specific skills

· Experience of working in a legal, accounting, regulatory or consulting background;

· Knowledge and experience of ;

· wholesale products and services together with a good understanding of how Operations works in wholesale banking environment; and

· the regulatory requirements applicable to Operations functions, specifically Client Money and Custody, Transaction Reporting and Client Classification.

Key accountabilities

The Role

· As part of the day-to-day responsibilities, this role will include the following, under appropriate supervision and direction:

· Providing Compliance Advisory support and assistance to Financial Markets and Operations areas of Commercial Banking Division

· Providing oral and written advice on compliance policies and procedures and relevant laws, rules and regulations. Such advice may be general in nature or specific, and will typically also include new business initiatives and regulatory changes;

· Updating of policies and procedures in response to control challenges identified by management or Compliance Monitoring activities or in anticipation of, relevant regulatory rule changes;

· Assisting Compliance monitoring and audit teams in conducting reviews;

· Responding to incoming enquiries from the FSA and the LSE;

· Delivering appropriate training to Operations and Financial Markets on policy changes;

· Reviewing regulatory breaches and working with Operations and Front Office to implement enhanced controls where relevant;

· Keeping abreast of regulatory developments (in particular Dodd Frank, MiFID II, EMIR and MIFIR) in order provide input and advice on systems, procedures and control;

· Providing ad-hoc assistance and undertaking ad-hoc assignments from time to time as directed by the wider Financial Markets Advisory Compliance Management team.

Skills Experience required:

Degree level educated or equivalent;

· Experience of working in a legal, accounting, regulatory or consulting background;

· Knowledge and experience of ;

· wholesale products and services together with a good understanding of how Operations works in wholesale banking environment; and

· the regulatory requirements applicable to Operations functions, specifically Client Money and Custody, Transaction Reporting and Client Classification.

· Excellent working knowledge of Excel and Powerpoint;

· Self starter with the ability to manage the expectations of multiple stakeholders at the same time; and

· Organised and able to multi-task essential.