Compliance Officer – Capital Markets Advisory recruitment
Global banking organisation is looking for a Compliance Officer for their Markets Advisory team.
The role will support cross product teams along with being involved with/manage projects for the business.
Duties include but not limited to:
Support primary contact for nominated business areas in the main comprising Corporates Markets business
Undertake or assist with ad hoc project work, providing analysis and making recommendations, as required or directed.
Assist other members of the Compliance Department in carrying out project work and to deal with day to day queries as required.
Be aware of local Compliance and regulatory requirements and Group Compliance policies and endeavour to ensure compliance therewith.
Periodically undertake Compliance risk assessment of nominated business areas and assist with or lead, as required, Compliance reviews of different aspects of business activity across firm, as directed.
Interact with regulators, exchanges and industry bodies, as required.
Develop and implement Compliance policies and procedures to reflect regulatory obligations applying to the business, working with other members of Compliance and business, as required or directed.
Identify training needs within nominated business areas and input to the training plan for the team. Develop training materials and carry out Compliance training, both general and specific, in line with team plan.
Develop own professional expertise through on the job training, and continued attention to key papers and themes of focus in the sphere of UK regulation.
Carry out as required, other processes performed by Markets Advisory team, including but not limited to approval of research and marketing materials; monitoring activities; reviewing new product and business proposals; reviewing and investigating queries raised by Central Compliance; carrying out internal investigations; providing assistance with tape playback requests.