Compliance Manager
Role Purpose
Provide direction and support for the responsibilities and functions of the Compliance Control Room team.
Act as key contact in the Control Room in relation to managing conflicts of interest including transaction approvals, personal account dealing and takeover panel disclosures etc.
Conduct conflict management induction training for any new joiners to Compliance.
Develop and refine Control Room related policies and procedures.
Attend industry discussions-roundtables pertaining to Control Room issues.
Providing clear guidance to members of the Control Room on identifying and managing any conflicts of interest.
Other ad hoc project work as agreed with the Global Head of Control Room.
Impact on the Business-Function
Primary point of Compliance contact for Control Room related matters
Assist in the assessment and rating of business regulatory risk in respect of conflict management related matters
Advise Global Business lines on the impact on the business of applicable laws, rules and regulations.
Support Global Business lines in discharging their responsibilities to comply with applicable laws, rules and regulations.
Foster good relations with all relevant regulators.
Escalate all material and significant breaches or potential breaches of regulations as soon as practicable to Global Head of Control Room or the relevant LCO
To escalate regulatory breaches to business and Compliance Senior Management in order t
Qualifications
Previous experience of managing conflicts within a global-commercial banking environment.
Previous compliance and-or regulatory experience, preferably across a number of different business lines.
Excellent communication skills, as the role requires constant communication with other individuals and teams within the bank
An excellent understanding of the regulatory environment and expectations, FSA rules and guidance together with other relevant regulations, codes of practice
Ability to make and support decisions with sound reasoning. Ability to clearly articulate business and regulatory implications of analysis and findings.
High standard of written documentation.
Ability to work with minimal supervision and on multiple tasks simultaneously and uses own initiative to resolve issues.
Excellent time management and prioritisation of work tasks.
Self motivated, enthusiastic and proven rapid learning capability.
Committed to completion of work tasks.
Good administrative skills (inventory updating, structured note taking, etc).
Our client is a global bank
Competitive basic + flexible benefits + discretionary bonus
Where specific UK qualifications are required we will take into account overseas equivalents.
Please quote Michael Page reference when applying Job ref:MPGX13249405
Michael Page International is a world leading recruitment consultancy.
Leave a Reply
You must be logged in to post a comment.