Compliance Advisory Executive
OUR CLIENT
The Corporate and Investment arm of a top European bank
THE ROLE
This role is primarily responsible for Business advice and assistance to Global Markets business lines as directed by the Deputy Head of Capital Market Compliance such as Origination, Syndications, Credit and Rates, Structured Products, FX and Treasury.
Key Responsibilities:
1 Compliance Advice and Queries
* The incumbent is responsible for the overall compliance and day to day advisory activities in the Investment and Corporate bank in theUKin relation to the capital markets business and as directed by the Deputy Head of Capital Market Compliance.
* As a Compliance Advisory Executive for GMD, the incumbent will be required to deliver sound regulatory advice and Compliance opinion.
1 Policies and Procedures
* The incumbent shall be responsible for ensuring that effective compliance policies and procedures relating to their area of responsibility are drafted and implemented. This will require analysis of bothUKand Head Office requirements.
* Proactively identify new laws, regulations and best market practices that will impact on current policies and procedures, ensuring that those responsible for the policies and procedures are made aware of the changes and that policies and procedures are updated as appropriate in good time.
1 Compliance Culture, Training and Awareness
* Monitor the regulatory changes and provide business with updated guidelines and trainings on the likely impact of the proposed regulatory changes.
1 Conflicts Management
* To work with the business and Conflicts Management Group at HO to maintain a conflict of interest risk map and monitor that potential conflicts have been appropriately identified, assessed and managed in accordance with procedures and the regulatory requirement, and to raise any specific issues for discussion with the Head of Compliance and/or business lines.
1 5. Coordination with Head Office Compliance and Cross border business Compliance
* To foster the relationship between London Compliance and Head Office, ensuring that where possible there is consistent application of compliance standards, that Head Office is aware of relevant cross border business, and that cross border issues are identified and escalated where appropriate.
ABOUT YOU
* Mandatory experience of working in a Capital Markets compliance department.
* Understanding of FSA Rules.
* Strong Compliance/FSA experience within Global Investment Banking products and services,
* Working knowledge of recent and current regulatory change including MiFid, Market Abuse Directive, FATCA etc.
* Strong report writing skills
* Strong communication skills
NEXT STEP
Please contact Katie McCluney at Laurence Simons at katie.mccluney@laurencesimons.com or telephone (+44) 0207 645 8527 quoting ref 537000 for further details.
ABOUT LAURENCE SIMONS
Founded in 1988, Laurence Simons is a specialist international legal recruitment consultancy. With offices across 4 continents, Laurence Simons truly is an international recruiter. We cover the whole spectrum of permanent and temporary legal positions in both the Private Practice and In-House markets from Newly Qualified through to Partner and General Counsel level roles.
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