Senior Manager/AD
Compliance Advisory – London, City
A unique new role has become available as a compliance advisory at a leading City based investment bank. As the compliance advisory you will provide a key position, which will protect the firm's brand and propel the achievement of the business through an integrated compliance culture and program. The main duties will be aligning regulatory priorities with the business, creating and maintaining effective relationship with regulators and establishing a strong control environment. As well as identifying and communicating compliance risks to senior management and the business. This is a pivotal role in a global leading investment bank offering wide and varied exposure to many financial markets.
PRIMARY RESPONSIBILITIES:
You will be the senior Manager/Assistant Director within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting Global Markets businesses within London.
Responsibilities Include:
Being the primary Compliance contact for Base Metals, Futures and FX;
Providing support to the primary compliance contact for FIC and DCM;
Keeping abreast of regulatory developments, in particular those arising local/European level and conducting the necessary analysis to assess the potential impact on Global Markets businesses;
Drafting appropriate compliance communications;
Providing pro-active and timely advice on regulatory and firm policy requirements;
conducting product research driven by new product/business initiatives within Global Markets and providing the Compliance/regulatory input in relation to those initiatives for the desks for which you have primary responsibility;
Undertaking ad hoc compliance monitoring reviews
Devising compliance policies, procedures and processes to enable Global Markets business units to comply with current regulatory and firm policy requirements;
Assisting in devising and delivering appropriate training and other forms of communication and monitoring adherence to such training and communications
Participating as required in internal investigations into potential breaches of regulatory and firm policies; and advise and assist overseas compliance colleagues
This is an outstanding opportunity to broaden your skills at a world-renowned firm, experience in compliance within either Base Metals, Futures and FX would be advantageous. It is essential that you have a good understanding of the UK regulatory environment and issues pertaining to public /private information flows.
For more information please contact Nicola Gubbins on 0203 465 0110 for a confidential briefing.
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