Compliance Manager
This position provides the opportunity to join Department with the responsibility of monitoring and analyse the sales and trading activities conducted by the investment bank. This Department interfaces closely with a number of other internal Departments, including the Markets Compliance team and the London Control Room.
Key responsibilities will include:
- Executing the MI monitoring programme by analysing the firm's sales and trading activities against all available external market intelligence and internal information sources
- Supporting special investigations into market incidents led by the Markets Compliance team
- Responding to regulatory and exchange enquiries in a timely manner
- Keeping up to date with the latest developments in the global financial markets, including mergers acquisitions and capital markets activities, and secondary market trading strategies;
- Anticipating changes to the firm's sales and trading activities in response to market events
- Recommending and assisting in the implementation of system and procedural changes, to enhance the effectiveness of the Programme
- Working in partnership with the respective Markets Compliance Officers to build a network of key contacts across business line coverage
You will have a proven track record within investment banking, with a strong knowledge of Commodity products, including listed and OTC derivatives. With this understanding of a wide range of financial instruments, you will also have good knowledge of the key regulatory principles within investment banking. Experience in the development and implementation of system enhancements will also hold you at an advantage.
Your investigative instinct and analytical mind-set will allow you to successfully identify any issues, and thus determine the most efficient solution seamlessly.
To discuss this opportunity, and others within investment banking, please contact Sam Pendlebury on 0203 145 3380, or at sam.pendlebury@bruinfinancial.com.
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