Compliance Advisory
An outstanding role at a leading City based investment bank
The role will protect the firm's brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:
Aligning regulatory priorities with the Business
Creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;
Establishing and maintaining a strong, effective control environment; and
Identifying and communicating compliance risks inherent in the business to senior management and the business.
PRIMARY RESPONSIBILITIES:
Senior Manager/Assistant Director within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting Global Markets businesses within London.
Responsibilities Include:
Being the primary Compliance contact for Base Metals, Futures and FX;
Providing support to the primary compliance contact for FIC and DCM;
Keeping abreast of regulatory developments, in particular those arising local/European level and conducting the necessary analysis to assess the potential impact on Global Markets businesses;
Drafting appropriate compliance communications;
Providing pro-active and timely advice on regulatory and firm policy requirements;
conducting product research driven by new product/business initiatives within Global Markets and providing the Compliance/regulatory input in relation to those initiatives for the desks for which you have primary responsibility;
Undertaking ad hoc compliance monitoring reviews
Devising compliance policies, procedures and processes to enable Global Markets business units to comply with current regulatory and firm policy requirements;
Assisting in devising and delivering appropriate training and other forms of communication and monitoring adherence to such training and communications
Participating as required in internal investigations into potential breaches of regulatory and firm policies; and advise and assist overseas compliance colleagues
Please contact Fergus Hooley on 0203 465 0175 for a confidential briefing . It is essential that you have a good understanding of the UK regulatory environment and good understanding of issues pertaining to public /private information flows
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