Compliance Advisory Contractor
Excellent new contract opportunity working for Tier 1 Bank in Compliance Advisory capacity.
Focusing on the fixed income, commodities, FX trading area.
Key Duties Responsibilities:
Provide advice on application of rules and policies to specific transactions and general business activities based on an understanding of business strategies and product portfolios
Advise on relevant business and Compliance procedures. Incorporate regulatory changes into advice
Review and approve marketing materials
The creation and implementation of policies and procedures to promote compliance with legal and regulatory requirements
Undertake Compliance risk assessments of the business and assess and advise the business on relevant controls
Monitoring the activities of the business covered in co-operation with other control functions, including desk and thematic reviews
Assist in providing appropriate training in co-operation with the Compliance Training Department
Handle routine regulatory reviews and inquiries, and communicating with exchanges and regulatory bodies as required
Participate in ad-hoc projects on a regular basis
Skills Experience Required
Experience of working in a Compliance Advisory position
A working knowledge of one or more FIC or Commodities products
Experience with dealing with external regulators
Leave a Reply
You must be logged in to post a comment.