COMPLIANCE OFFICER - Advisory

Job type:
on-site
Start:
ASAP
Duration:
6 months
From:
Pontoon
Place:
London
Date:
01/04/2017
Country:
flag_no United Kingdom
project ID:
1263186

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COMPLIANCE OFFICER - Advisory

International wealth Management/IWM Compliance Officer

One of our large Investment Banking clients is looking for an experienced Compliance Officer; The ideal candidate would need Compliance advisory background within the Investment Banking sector or similar

IWM (INTERNATIONAL WEALTH MANAGEMENT)

Knowledge of regulations within banking,

The IWM Compliance team provides Compliance support to the UK International Wealth Management Banking Business. The Compliance team is responsible for performing an advisory, training and monitoring function in respect of all aspects of the International Wealth Management Banking business to ensure that the business adheres to local regulatory requirements and Bank policies and procedures

Responding to ad hoc business queries relating to regulatory or policy matters by providing accurate and value added advice in a timely manner; Participating in projects and new initiatives and driving the compliance agenda; Reviewing regulatory publications to analyse impact to UK Private Banking business; Investigation and responding to client complaints; Participating in internal investigations; delivery of Compliance Training Programme; Performing Compliance Monitoring reviews and surveillance and Analysing Financial Promotions to ensure we meet our regulatory obligations.

Responsible for overseeing the Compliance Training Programme whilst also responding to day to day advisory queries from the business.

Undertake various reviews in accordance with the Compliance Monitoring Plan, whilst responding to ad hoc queries from Relationship Managers; including the review and sign off of financial promotions.

Relevant experience in a UK or International Banking institution.

An understanding of the UK regulatory requirements and a basic understanding of global regulatory environments and global company standards is also a key requirement. Knowledge of financial products is preferable but not essential, ideally including investment, banking and key operational processes with an understanding of the need to balance commercial and regulatory risk

Able to deal with stakeholders and respond to queries confidently

Background in compliance/advising/iwm/banking

Please apply with your most resent CV