Head of Compliance for Wholesale Banking
Our client is committed to high standards thus is keen to hire an exceptional compliance professional with extensive compliance experience at a senior level in investment banking. They will have good product knowledge and proven management experience. The successful candidate will oversee the compliance function for the investment banking business and do the following:
- Ensure effective management of all wholesale banking Compliance matters for the European arm of the business(including training). Lead Compliance support for Global Markets, Transaction Banking, Corporate Finance, Brokerage, DCM and ECM businesses;
- Review the wholesale banking compliance and regulatory risk framework, allocating resources and prioritizing accordingly. Identify gaps in coverage, resources and staffing needs in conjunction with Department Head;
- Identify and implement rules and regulations. Develop Polices and procedures to minimize compliance and regulatory risk and benchmark against best industry practice;
- In conjunction with the business, determine regulatory and compliance risk parameters for assessing the effectiveness of monitoring-assurance.
- Provide a pro-active advisory service to senior management and generally in relation to regulatory, reputational and ethical matters, not only responding to requests for advice, but where appropriate taking the initiative in volunteering advice the need for which may not have been appreciated.
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- Educational background to degree or equivalent level.
- UK compliance officer with good knowledge of FSA Handbook (especially, COBS, MAR, SYSC, DISP, TC, CASS, APER, GEN, PRU (various) AUTH, SUP, DEPP, COMP, LR, PR, DTR, EG, PERG, RPPD, UNFCOG). Some previous experience of EU law and regulation are required.
- Career experience at any of the following: UK law firm, UK financial institution, UK regulator or UK compliance consultancy practice, with proven track record covering wealth management, brokerage, Investment banking, product development and fund management.
- Fully committed to delivering and highly commercial.
Our client is a global investment bank with a stellar reputation
Competitive basic + excellent flexible benefits + discretionary bonus
Where specific UK qualifications are required we will take into account overseas equivalents.
Please quote Michael Page reference when applying Job ref:MPGX13258063
Michael Page International is a world leading recruitment consultancy.
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