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Compliance Officer - Advisory & Monitoring

Salary: £60,000 - London

Job description

To provide compliance advice to the Capital Markets FICC business while also executing the risked based monitoring program. This role would be fantastic for someone looking to break out of a central compliance silo and get closer to the 1st line.

 

Responsibilities

  • Provide compliance advice to the FICC business including: responding to ad hoc queries, provision of input to formal projects, new products and business proposals, consideration of reputation risk matters, policy updates, training and assessing regulatory change.
  • Execution of a risk based compliance testing program including: risk assessment, business reviews, thematic reviews and testing, and surveillance and logging, escalation and ensuring resolution of relevant items.
  • Execution of the local and global testing program to include, local, global, desk and thematic reviews.  Completion of ad hoc reviews as required.
  • Undertake various core compliance processes including: regulatory liaison, reporting, registrations, licensing, gifts & entertainment, employee trading, conflicts, projects and breaches.
  • Assess regulatory change and ensure that the bussiness are aware of proposals and implemented rules changes.
  • Facilitating coordination with other internal control functions as required, e.g. Internal Audit and Operations.

 

Although our team do try to respond to all applications, unfortunately this is not always possible.  Therefore, should we not have contacted you within 5 days of your application you have not been successful on this occasion.

For more information contact Jake Wyatt

Associate Director. Recruitment
Phone: 01732 746 668
Email Jake

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