Senior DCM Compliance Advisory Manager
In London they have double their overall compliance department in London and are currently increasing their team in several other locations globally.
Summary
Proactively provide compliance and regulatory advisory services to the investment banking and relationships business lines, and the relevant support/operational functions covering the investment banking and relationships business lines’ activities, ensuring that the advice provided is suited to the needs of the business lines
Main responsibilities
- Advising on compliance and regulatory aspects of new products and participate in New Products Committee
- Proactively maintain relationships and open communication with, and actively promote Compliance in front of, business lines and other control functions, providing support where necessary to address compliance requirements at earliest opportunity
- Active participation in the maintenance of the risk cartography, ensuring that the inherent regulatory risks posed by business activity are determined, the mitigating factors assessed to determine the residual risk and the actions required to further mitigate, or reduce, the regulatory risk
- Liaising with Paris and other Compliance staff in overseas centres as required, and providing support in understanding the regulatory risks and the impact of the London-based investment banking requirements and practices and FSA Rules (particularly the Market Abuse Regime) on staff based overseas whose activities impact the UK markets
- Active engagement and liaison with the Risk Assessment Review Unit (“RARU”) which is responsible for day to day transaction monitoring and periodic desk reviews of the Business Lines, ensuring appropriate support and guidance in the development of product knowledge within RARU, and assisting RARU with Desk Reviews and completion of enquiries arising from the routine monitoring
- Reviewing marketing materials to ensure that they comply with internal policies and that they are clear, fair and not misleading
- Liaise with Policy Training and Registrations Compliance Team in respect of any new regulation and their impact on the business line
- Proactive dialogue and liaison with the investment banking and relationships Compliance representatives in Paris and other global locations on a regular and frequent basis, ensuring appropriate engagement on issues impacting
- Compliance and the Business lines beyond the London perimeter, and a consistent approach to the resolution of issues arising
- Involvement in the implementation of any new regulations and their impact on the business line
- Develop and deliver appropriate regulatory training for the business line using one-to-one and classroom methodologies
- Active participation in investigations into incidents arising within the business lines that are the focus of the team
- Engagement with the Policy Training Registrations Team, with active participation in the development of compliance policies and procedures
- Participation in the investigation of, and response to complaints arising concerning issues within the business lines
- Ensuring timely and accurate responses to regulatory enquiries and liaising with internal groups to obtain information
- Interaction with the Policy Training and Registrations team to assist in the registrations process for business line staff, where required
- Proactive and timely escalation of issues to the Senior Compliance Officer of the advisory team, ensuring regular and frequent communication on such issues
- Involvement in delivery of items in the annual Compliance Plan, which are relevant to the coverage of the team, in a timely manner
- Maintaining a detailed working knowledge of the FSA and exchange rules and regulations, and a broad awareness of AMF, ACP and other regulatory requirements as necessary
- Performance of team permanent supervision controls
- Attendance at relevant industry and trade association seminars
- Any other tasks/projects as assigned. There are no positions reporting into this role
Level of authority
- Role involves acting with initiative and autonomy, where appropriate, ensuring proactive upward reporting of relevant issues, as well as seeking guidance and advice as required
Internal external contacts
- Business line management and staff, Group Compliance Frequency of contact: as necessary
- Specific context Post holder must actively encourage a team approach, with frequent interaction and communication across all areas of the Compliance Department. Post holder must actively encourage communication and interaction with
For more Details, please visit our Website – www.hamlynwilliams.com and for further information send any queries to m.pollard@hamlynwilliams.com
Hamlyn Williams is an Executive Recruitment consultancy that specialises in placing Risk, Compliance, Regulatory Information Security professionals globally:- offering Retained, Contingency and Interim/Contract recruitment solutions for the Financial Professional Services.
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