Compliance Professionals
Senior Compliance Officer (Control Room and Advisory role)
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THE COMPANY:
Our client is a global wholesale banking business based in London. With an international reach, they are a truly first class employer. This role is primarily responsible for covering the business facing Investment Banking advisory activities and supporting the UK Designated Control Room Compliance Officer.
THE RESPONSIBILITIES:
- Leading on the regulatory development tracking and horizon scanning to enhance the team’s current processes.
- Conducting regulatory impact analysis on new regulatory developments as they apply to UK entities including assessment of other documentation as appropriate. This will include tracking and monitoring through the lifecycle of the regulatory development as well as implementation into BAU.
- Assisting the team in meeting the overall Enterprise Compliance Programme (ECP) requirements and ensuring compliance with firm policies and procedures.
- Providing face to face compliance training to staff in UK and globally on the Compliance programs, on UK regulatory requirements, coordinating as needed with other SMEs within Compliance and control functions.
- Providing advice and implement solutions aligned to regulatory risk appetite and stakeholder needs, in partnership with business.
- Act as a subject matter expert on relevant regulations as agreed. Set out/update Compliance/Regulatory policies and procedures.
- Assist with the other management and board reporting requirements within Compliance and business/group management.
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EXPERIENCE REQUIRED:
- Minimum of 7 years’ experience in compliance in international banking and the wholesale financial markets – ideally from a Control Room/Advisory background
- Strong knowledge and experience in implementing the UK and/or EU regulations.
- Knowledge of US regulation, Canadian Regulation and exchange rules is desirable.
- Good knowledge and experience of dealing with Regulators, Internal and External Audit.
- Knowledge of regulatory and supervisory processes.
- Monitoring and Testing experience an advantage.
- Sound knowledge of Compliance regulatory requirements and the control environment best practices that are operated within a corporate banking and markets type business.
- Experience in policy drafting.
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