Compliance Manager/AVP
This is to work with them on a contract basis providing support in a newly formed governance and strategy team which is working to deliver change projects/initiatives and tactical solutions across individual employee compliance matters such as Personal Account Dealing (PA dealing), outside business interests (OBIs) and the giving and receiving of gifts and entertainment (GE). Role will include:
•Acting as the Compliance Business SME for projects and facing off to IT change teams for process efficiency and improvement initiatives
•Help to manage stakeholders and coordinate projects with the wider compliance department, managing and building relationships
•Assist with policy review and process improvements for central compliance
•Help to define central compliance strategy and framework
Requirements:
•It is highly desirable to have proven central compliance experience i.e. PA dealing, OBIs, or GE
•Excellent understanding of the regulatory principles and rules for central compliance
•This experience must be from a global investment bank
•A combination of BAU line and experience and participation in improvement / change initiatives for compliance is highly desirable
Additional keywords: core compliance, central compliance, strategy, projects, change, policies, procedures, compliance monitoring, advisory, regulations
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