Newly Qualified Accountant (Compliance Focus) recruitment
The Compliance function is rapidly expanding, and in this increased regulatory environment have an opportunity for a candidate with solid audit experience gained from a Practice Firm, ideally Big 4.
Whilst Compliance experience would be ideal, having had exposure to a Compliance or regulatory function through Audit work for Clients would be a good starting point.
- The role will encompass the following responsibilities:
- Have oversight of the team providing Regulatory Services to RBC Capital Markets and Wealth Management London platforms
- Manage the function of handling client and counterparty communications with RBC in relation to MiFID and Terms of Business
- Advise (or developing competencies to advise) on the regulatory requirements pertaining to the mandate of the Regulatory Services team (SUP/TRUP, COBS, TC)
- Ensure adequate policies, procedures and controls are in place to support the successful delivery of the team’s mandate
- Provide support as required in relation to other compliance matters pertaining to UK Capital Markets and Wealth Management businesses.
Ideal Experience Required
• Knowledge and/or experience of FSA Approved persons regime, including Training and Competence
• Experience of dealing with PA Dealing, Gifts Entertainment, Outside Business Activities and Private Investments matters
- Willingness to acquire/develop competencies/knowledge base on other regulatory topics as directed
• Ability and willingness to accept accountability, demonstrate initiative, work with limited direct supervision and support effective cross unit co-operation, information sharing etc
Preferred
• An accounting or legal background is preferable
• Working knowledge of Capital Markets operations and in particular transaction reporting and experience in working in major investment bank/firm Compliance Department
• Ideally educated to at least first degree level with a relevant degree, hold a recognised relevant professional qualification, or be willing to study for the same
REQUIRED COMPETENCIES
Behavioural
• Strong interpersonal and communication skills, particular written skills
• Partnership mentality with respect to rest of RBC enterprise
• Strong time management and organisational skills / ability to meet deadlines and work under pressure
• Flexible, team player
• Proactive appraoch and ability to work on own initiative; and
• Ability to conduct duties expediently, aptitude for accuracy, attential to detail, and hands-on approach.
Technical
• Attention to detail is vital for this role
• Ability to analyse regualtions/consultation documents etc
• Sound working knowledge of applicable internal policies and procedures
• Sound working knowledge of applicable laws and regulations, including those associated with FSA supervision and reporting processing
• Solid working knowledge of the Company’s IT systems and Microsoft Office Products.