Compliance Specialist
Excellent Interim opportunity within a Top Tier Investment Bank for a skilled and experienced Compliance Specialist. Successful candidate will be working within their UK Compliance team.
A senior member of the team is going on maternity leave. The period will see a number of change and operational programs requiring senior leadership and oversight, and this hire is intended to support the UK Head of Compliance in this regard.
The UK Compliance team consists of circa 70 professional staff engaged in core compliance processes supporting the UK businesses. The UK Head of Compliance leads the team, which consists of various advisory and control units.
The role is intended to be a versatile and senior role, capable of supporting the UK Head of Compliance on a number of change and operational priorities, as determined by them.
Support for developing the UK conduct agenda, including the conduct control framework. Senior support for the local employee compliance team lead - which includes PA Dealing, individual registrations including SIF registrations and compliance disclosure/ approval processes.
Skills and experience
Looking for experienced Senior compliance professionals who have recent working background within both investment banking / sell side as well as buy side compliance environment.
Will need to have sound knowledge of UK regulatory framework and Record of delivering or supporting both compliance change programmes as well as operational processes.
Background working with PA Dealing, individual registrations including SIF registrations and compliance disclosure/ approval processes.
Only candidates with above experience will be considered.
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