Compliance Manager up to 12 month Fixed Term Contract recruitment

Compliance Manager - Up to 12 month Fixed Term Contract

Purpose of Position

The purpose of the role is to provide advice and guidance to a specific business unit within the Bank. This includes the provision of advice, guidance and training on all regulatory matters (FSA and other regulators as appropriate) as well as undertaking compliance monitoring.

Purpose of Department

The Compliance Department exists to provide advice, guidance and support on all regulatory matters which affect Securities Services within our clients offices maintained in a munber of locations. The Compliance department is responsible for ensuring that all staff are aware of and understand all relevant laws rules, regulations and compliance policies as they apply to Securities Services.

This support includes:

• Provide advice to the business on the implementation of FSA Rules and any other regulatory rules as they apply to Securities Services.

• Development of policies, procedures and guidance that define the regulatory and internal standards and requirements applicable to Securities Services.

• Risk assessment, development and completion of a risk-based Compliance Monitoring Program.

Key Responsibilities

• Monitoring a specific business line with some transversal responsibilities. This entails performing compliance monitoring reviews, production of reports, discussions with business stakeholders on compliance monitoring outcomes and follow-up on outstanding compliance points, including escalation to senior Compliance management as applicable.

• Advice - providing timely and relevant advice and support to business stakeholders and to other Compliance team members as required

• Attendance at meetings as required

• Provision of support to business projects

• Maintenance of the compliance email mailbox for queries

• Training - support the Securities Services HR Training Development team as required

Liaises with

Internal:

• Head of Compliance, Deputy Head of Compliance

• Compliance Control Department

• All levels of management and staff across Securities Services

• Corporate compliance in other locations globally.

External:

• Clients

• Trustee/Depositary

Education

Required:

• Degree level education or equivalent

Desirable:

• Professional qualification i.e. IMC, CISI Compliance Diploma

Technical Experience

Required:

• Experience of risk/compliance monitoring and reporting

• Detailed knowledge of FSA Regulations, particularly SYSC, CASS, COLL and COB

• Experience of custody and middle office operations

• Excellent communication skills

• Ability to work independently and as part of a team

• Ability to work under pressure

• Proven analytical skills

• Detailed knowledge of MS Word, Excel and PowerPoint

Desirable:

• Knowledge of Alternative Investments, hedge funds, principal and agency securities lending

• AML/KYC knowledge

Thank you for your interest in this role.  If you have not received a response from us within 5 working days then unfortunately, your application has been unsuccessful on this ocassion. However, please do not hesitate to apply for any future roles that you feel match your experience and requirements.