Compliance Reviews Associate recruitment

The role is to support the firm’s identification and mitigation of compliance risk across the Equities, Fixed Income, Derivatives and Investment Banking businesses in the EMEA region through the delivery of a Compliance Review Programme. Review work will focus on compliance with all relevant regulatory requirements and internal policies and procedures. Responsibility will focus on the following areas:

• Support the delivery of a robust risk based testing programme

• Support the risk assessment process to identify business functions for inclusion in the annual review plan

• Working with the Compliance Reviews Manager to undertake compliance related business area reviews. Taking a leading role in the more straightforward business areas under review

• Drafting clear and concise review reports

• Documenting accurate and consistent working papers

• Participating in meetings with the business and senior management to discuss issues and findings

• Supporting the delivery of agreed review targets and objectives

• Supporting the subsequent tracking and follow up on identified issues

Skills and experience:

• Appropriate professional/industry qualifications

• Preferably experience of compliance testing work or audit in an Investment Banking/trading environment.

• A good understanding of the content and application of the FSA handbooks

• Good working knowledge of financial products and services

• Knowledge of trading exchanges and clearing processes

• Ability to perform risk based analysis of management information and identify risks and remedial actions

• Excellent PC skills including Word / Excel / PowerPoint

• Excellent communication skills, including ability to articulate information in a clear and concise manner in order to influence decision making at all levels of the organisation

• Excellent report writing skills

Right to Work

The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers from outside the EEA coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the EEA (who require a Tier 2 (General) visa) we can only employ them if we can provide evidence that there are no other suitable candidates for this vacancy from inside the EEA.