Compliance Advisory recruitment
The role will be sat on the trading floor and you would be responsible for advisory to the front office on Fixed Income, sales and Debt Capital Markets. The role will involve both BAU advisory and the opportunity to be involved on numerous regulatory implementation projects.Deliverables include:Providing advice to Sales, Credit Rates Trading staff regarding applicable laws, rules, regulations and bank policies and procedures on a timely basis.Reviewing transactions for compliance with the above.Escalating transactions and issues to line manager where appropriate.Documenting advice given in line Read more […]
VP, Compliance Advisory recruitment
Key responsibilities include:• Directly cover 4 branches and 3 branches as back up coverage, providing sales practice guidance as well as the interpretation of rules and regulations to mitigate risk to Investment representatives, Sales Assistants, Branch Administrative Managers, and Regional Office Managers• Perform a monthly assessment of Admin Manager responses to ProSurve alerts and discuss a plan of action with each Admin to remediate the findings• Perform a quarterly review for each of the branches they directly support by completing a structured template and discuss the observations Read more […]