Compliance Manager recruitment
The Corporate Banking arm of a globally renowned financial institution is looking for a Compliance Manager for Their Fixed Income and Credit Trading Sales Advisory Team. This position provides exposure within an integral part of the business. In joining the Advisory Compliance team, your main focus is to mitigate regulatory risks and drive the compliance culture through the key business areas.
Your responsibilities will be:
• Ensuring all activities in the business areas meet regulatory requirements and that the firms’ responsibilities are correctly discharged.
• Providing advice, guidance, direction and interpretation as regards compliance issues across the business.
• Providing timely and pragmatic Compliance advice to aid compliant business development.
• Assisting the Senior Compliance Advisory Partners in the provision of regulatory advice and guidance on the implications arising from the development of new products and services.
• Interpreting regulatory changes and assessing their impact on the firm’s processes, procedures, controls and products.
• Ensuring the appropriate mechanisms are in place to manage actual and potential conflict of interest.
• Establishing strong relationships with business areas and leadership to drive forward compliance culture within the organisation.
• Ensuring the information handling arrangements between the public and private side of the Group are adhered to, and where necessary, escalating to Senior Compliance Advisory Partners.
• Ensuring the monitoring and control systems are in places to operate effectively in order that compliance related issues are readily identified and remedial actions are implemented in order to minimise risk.
• Developing regulatory risk assessments, document controls and delivering monitoring plans that are agreed by all stakeholders.
• Defining and implements compliance procedures for new products/services, assessing the inherent risks before implementation and providing advice and guidance to resolve and issues.
This position will allow you to further develop your existing product knowledge and Compliance Advisory skills. Ideally you will have experience advising on the following products: Fixed Income, Equities, Secondary Loan Trading, OTC interest rate and FX derivatives. You will posses an excellent working knowledge of FSA rules, with particular reference on sales practices, client suitability issues, Chinese Walls and retail client requirements. This challenging role requires the implementation of an entire host of skills and will need you to display versatility to adapt to the continually changing business environment.
To discuss this and others within Corporate Banking, please contact Agi Heale on 02031453376 or at agi.heale@bruinfinancial.com.