Compliance Vice President – Investment Banking – London
Compliance Vice President is needed by a leading Investment Bank. This is a top tier Investment bank seeking to expand a newly created Operations function within the Compliance department; specifically focusing on Operations Division within the Bank.
As this is a new function in the Compliance department, you will have the opportunity to influence the direction of the department and business. You will be instrument to any changes and requirements that are required by the business with regards to Operations business areas across various products and services.
The Compliance Manager’s responsibilities will include:
- Providing advice and guidance on Compliance issues to Operations business units across the bank – some of the areas covered include: Prime broking, Clearance Settlement, Middle Office, Institutional, Fixed Income etc.
- Driving the initiatives and governance policies across the business to improve the governance framework with a strong focus on Client Money and Assets (CASS), Clearing and settlement, Transaction Reporting requirements etc.
- Developing and implementing compliance policies and procedures for the Operations Department.
- Keeping abreast with changes in regulations that will affect the Operations department
To be considered for this role, you need to have the following:
- Bachelors degree and/ professional qualifications
- Strong working knowledge and experience of CASS
- Background: Working in a compliance/regulatory role within the financial services or Consulting/Audit providing regulatory advisory service for the financial services
- Good understanding of Transaction Trade reporting, futures and options, prime broking services.
- General knowledge of COB and SYSC rules as well as working knowledge of financial products, securities and derivatives markets.
- Be able to think outside the box and be able to have a creative design of processes, controls and reporting.
- Strong planning, problem-solving and organisation skills as well as good senior stakeholder management skills.
If you would like to know more about this position (or similar roles) please give me a call on 0207 092 3241 or drop me an email on d.bowenwright(at)eamesconsulting.com. Also please feel free to forward to someone that you know that will be interested in these roles or similar roles.
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