Job Description

THE COMPANY:

Our client is a successful banking firm with a strong global presence, offering a comprehensive range of services.

THE RESPONSIBILITIES:

• Cultivate a positive compliance culture across the Group by implementing proactive engagement with stakeholders and providing appropriate advice to the business
• Develop and deliver training materials
• Investigate any identified potential or actual breach of relevant rules and regulations and assist in reporting to senior management
• Advisor to the business and support functions on the private side product and service suite, working closely with stakeholders in the first, second and third lines of defence
• Flagging any concerns or issues and maintaining an effective compliance framework.
• In conjunction with other members of the Compliance team assist in the design and implementation of an effective Compliance Risk Assessment program
• Assist in implementation of an Annual Compliance Plan; and support the execution and reporting of the Compliance Monitoring program;.
• Develop, update and provide Compliance input to relevant Compliance Policies, Departmental Procedures and internal Compliance Department processes Assist with preparation and responses to internal and external regulatory exams / audits;

EXPERIENCE REQUIRED:

• Ideally knowledgeable in MiFID, MAR, conduct risk for private side businesses.
• Demonstrated understanding of relevant existing and expected regulations in an investment banking environment ,
• Experience of advising businesses on how to comply with laws, rules and regulations
• Positive approach to providing solutions.
• Ability to multi-task and work well under pressure.
• Good communicator.
• Ability to work independently and as part of a team.
• Able to build relationships and have good rapport with stakeholders.

For further information please contact Natalie Eshelby

About this role

Location:

London

Specialism:

Salary:

\xc2\xa3 Competitive salary

Type:

Reference:

18585

Compliance Professionals