Compliance Advisory
They are looking for an individual who has good experience facing off to the business and has a good understanding of the commercial aspects including the reputational Risks. You will be dealing with a variety of clients including Sophisticated Retail clients.
Experience Required:
- 5+ years Compliance experience, including advising the Front Office
- Compliance experience in an investment bank
- Experience of Rates and/or Foreign Exchange products
- Experience of developing policy, assessing risks, conflicts, implementing procedures, training, monitoring, review of products or transactions, conducting investigations
Main Function
Member of compliance team providing advice and support to the Investment Bank Risk Solutions Group (“RSG”) in the UK and Western Europe. The main activity of RSG is offering Rates, FX and Commodities derivatives solutions to a wide range of corporate and public sector clients for risk management purposes. Deals may be event-driven or flow. RSG activities also include spot and forward FX and investment solutions for short-to-medium term cash balances. The position reports to a Compliance Director.
Main Duties
- To be part of a team providing day to day compliance support and oversight for RSG UK and Western Europe, focusing primarily on:
- Developing close working relationships with front office and other relevant infrastructure staff including Legal, Operations, Credit Risk and Operational Risk
- Reviewing and advising on transactions, governance and controls , marketing and other matters relating to ongoing business activity
- Contributing to Group, Investment Bank and RSG work on policies and procedures, regulatory development, management information and surveillance initiatives
- Supporting business projects with Compliance implications
- Conducting Compliance reviews of business areas or activities
- Supporting and advising on regulatory aspects of the handling of client complaints and litigation
- Promoting regional and global collaboration in RSG Compliance coverage, including participating in business and infrastructure committees and liaising with Compliance and Legal colleagues in Europe and other regions, in Corporate and Investment Bank
- Developing and delivering Compliance training
- Assisting in managing relationships with the FCA and the Financial Ombudsman Service, responding to enquiries as required
- Building a professional support network, developing links within the Group and the industry, and contributing to work of trade associations as required
Skills / Aptitude:
- Good oral and written communication skills, able to collaborate with senior business heads and external parties
- Excellent business judgement and commercial awareness
- Reliable, dependable, accountable
- Strong analytical skills – thorough with a good eye for detail
- Entrepreneurial self starter
- Strong product knowledge
- Able to quickly understand and interact with a variety of other product areas
- Familiarity with Microsoft Word, Excel, Powerpoint and Outlook
Candidate Profile:
- Able to deal with change: will be dealing with a fast developing business
- Proactive person who challenges processes and looks for improvements
- Confident and excellent communication skills
- Strong team player
- Ambitious, intelligent and hard working individual
For more Details, please visit our Website – www.hamlynwilliams.com and for further information send any queries to m.pollard@hamlynwilliams.com
Hamlyn Williams is an Executive Recruitment consultancy that specialises in placing Risk, Compliance, Regulatory Information Security professionals globally:- offering Retained, Contingency and Interim/Contract recruitment solutions for the Financial Professional Services
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