Compliance Equities Brokerage Division Risk PM

Job type:
6 months
Cornwallis Elt Ltd
flag_no United Kingdom
project ID:

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Senior Compliance Consultant - Risk Project Manager - Equities Brokerage - Banking
About the role:

A global banking organisation are seeking to appoint a Senior Compliance/Risk Consultant to help them get up to date on compliance rules regarding equity brokers. This person will need to be able to create their own projects and also execute them.
Key Responsibilties:

  • Make an assessment of the regulatory framework for an equity broker
  • Assess that compliance policies and procedures are fit for purpose; a create and execute a plan to remediate any gaps
  • Leverage and/or create processes to support an equity broker into an existing compliance framework
  • Create a project plan to effect all of the above
  • Work closely with the business and other business partners (legal, audit etc)
Key Skills and Experience:
  • Extensive experience of advising an equities brokerage division within an global banking group
  • Understanding of the US and European regulations impacting the broker vis-a-vis the market and its clients
  • Experience of the regulations and internal policies impacting the BAU interaction of the broker with other parts of the group such as custody/banking/asset management.
  • Consummate stakeholder management/influencing skills
  • Excellent industry, regulatory and compliance knowledge.
This is a high profile position that will allow the incoming person to assess, advise, shape and implement a regulatory framework for the business. This is an initial 6 month contract offering excellent remuneration.
Cornwallis Elt is an Employment Agency and has been listed 3 times in The Sunday Times Virgin Fast Track 100 of the UK`s fastest growing private companies, as well as in the Recruitment International Top 250, Top 50 in IT and the Recruiter Fast 50.