Compliance Advisory
About the role
The role sits within the Compliance Advisory team covering Financial Markets. The senior compliance professional sought will provide regulatory compliance support in particular for the sale of OTC financial products. The role holder will interact daily with Senior Managers and will answer any queries coming from the trading team.
The role holder will work alongside with the team on identifying any regulatory changes affecting the UK entities and ensure the necessary processes and controls are in place. They will also participate in different projects related to TCF, RDR and Interest Rate Derivatives.
What we are looking for
The candidate must have several years of experience in an advisory capacity and ideally a background within Corporate or Investment Banking.
The role requests a strong knowledge of wholesale products and several years of experience in the regulatory developments area including Mid Market, SME and retail clients. The ability to maintain credibility in front of Front Office as well as to communicate effectively with stakeholders including Senior Executives is essential.
The role holder must have a thorough knowledge of FCA rules, will provide BAU advisory support including reviewing new products and initiatives.
Excellent communication and teamwork skills are required as well as a proactive engagement with key business and stakeholders.
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