Compliance Reviews recruitment

Global Investment Bank is looking for a Compliance Reviews person to join their London team.

Overview:

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:

• Delivery of a robust risk based testing programme

• Assessment and identification of higher risk business functions for inclusion in the annual review plan

• Liaison with senior management to agree the annual review plan

• Taking a leading role in the higher risk and more complex business areas under review

• Taking responsibility for the team producing clear and concise review reports

• Ensuring the quality and consistency of working papers and reports issued by team

• Chairing and leading meetings with the business and senior management to discuss issues and findings

• Ensuring timely delivery of agreed review targets and objectives

• Managing subsequent tracking and follow up on identified issues

• Managing a small team of compliance testing specialists

Skills and Experience:

• Experience of compliance testing work in an Investment Banking/trading environment.

• A good understanding of the FSA handbooks and the ability to apply the knowledge in a commercial environment.

• Good working knowledge of financial products and services

• Knowledge of trading exchanges and clearing processes

• Experience of working with senior management

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

• 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 and editing skills

• Attention to detail and ability to spot anomalies