SAM – Reg Compliance – Wholesale Banking recruitment
I am currently recruiting for a UK based banking group, who (due to expansion of the team) has a new vacancy in compliance and audit in London, with an oversight of the Wholesale division.
With expanding regulatory demands facing the banking sector, they are looking to bring on an SME in Compliance and advise the business in regards to key risks and controls surrounding conduct risk as it applies to the Corporate and Investment banking divisions of the banking services.
As an SME, you will have exposure to a broad range of complex asset classes and services and through projects and assignments, interface and troubleshoot with a broad range of business managers and stakeholders.
This is an excellent opportunity for a developed compliance professional that has worked specifically in private client financial services and is familiar with the regulatory risks inherent that prevent fairer outcomes for customers.
With this role, there will be the opportunity to develop relations with key stakeholders within Compliance, Audit and Risk – and will have the added benefit of future career moves in the business or up the Audit ladder.
Key skills/experience required:
• Extensive compliance covering Corporate Investment Banking (Essential)
• Comprehensive knowledge of current and future regulation affecting this area of industry (COBS, CASS, COLL, RDR, FINPROM etc) (Essential)
• Significant experience in performing risk assessments, themed reviews and desk based reviews (Essential)
• Broad range of business compliance reviews e.g. operations, front office (essential)
• Understanding of audit processes (desirable)
Salary: £65 - £90,000
Location: City of London
Travel: 10 – 15%
If you would like to work for a longstanding and successful banking group and apply your skills as a subject matter expert in compliance; please forward your CV to me for evaluation and next steps.
I am unable to reply to every unsuccessful candidate.