Director Compliance
The Compliance Department is responsible for the creation and implementation of appropriate regulatory policies and procedures for all businesses, for the provision of related training and advice, for the monitoring and review of all business activities to measure Compliance with policies and procedures, for undertaking enforcement and sanctions activity and for the management of Firm’s relationship with all of its regulators.
Lead a team of compliance professionals that provide advice and compliance support to the Equity and Funds Structured Markets and Investor Solutions teams. Manage and lead projects, work globally with overseas colleagues, provide clear and concise management information and engage frequently with senior front office personnel.
Main Duties
To lead a team providing day to day compliance support and oversight for the above for sales, including developing close working relationships with front office and other relevant infrastructure staff reporting to a Compliance Director. The role will also require taking a lead on a variety of related projects, reviews and ad hoc tasks working with a variety of senior business and support representatives as appropriate.
The above will require an understanding of OTC products, distributors distribution arrangements, including the use of sub distributors and IFAs, the nature of the proposed products the distributor proposes to access, the jurisdictions the distributor operates in, their fee disclosure standards and other pertinent factors
Additionally, the role will involve:
- Providing advice to all Sales and Trading areas within Europe for the above
- Assisting in the review of new products and other advisory related activities where relevant or required
- Contribute to related policy drafting and surveillance initiatives
- Project managing various business projects with Compliance implications
- Displaying willingness to network, developing links with stakeholders and relevant areas
- Assisting in the Global co-operation effort in respect of Sales and Trading Compliance coverage
- development and the roll-out of bespoke Compliance training programmes
- Demonstrating ability to work as part of a team while demonstrating a proactivity drive to be a self-starter and driver of enhanced processes in the firm.
- Working closely with supervisory team to ensure proper supervisory controls are in place
Person Requirements
Basic Qualifications:
- Bachelor's degree or equivalent
- 5+ years of experience in Fixed Income, Equities, Options, and at least one other relevant asset class including FX Commodities
- 5+ years Compliance experience in an investment bank
Preferred Qualifications:
- Good communication skills, able to interact and work closely with senior business heads
- Reliable, dependable, accountable, entrepreneurial self-starter
- Able to quickly understand and interchange with a variety of other product areas
- Able to deal with change: will be dealing with a fast developing business
- Proactive person who challenges processes and looks for improvements
- Confident and excellent communication skills
Strong team player, ambitious, intelligent and hard working
Leave a Reply
You must be logged in to post a comment.