Compliance Officer - FCA Rules Compliance Monitoring - Investment Bank

Job type:
on-site
Start:
ASAP
Duration:
5 months
From:
Adlam Consulting Ltd
Place:
London
Date:
09/15/2015
Country:
flag_no United Kingdom
project ID:
984425

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Compliance Officer - FCA Rules Compliance Monitoring - Investment Bank

Compliance Officer reporting to the Senior Compliance officer is required for a Top Tier Investment bank. The Compliance Analyst will have detailed knowledge and understanding of FCA rules. General compliance experience required covering the provision of advice and performing compliance monitoring. Proven analytical skills. Desirables: Compliance Qualification, eg CISI Diploma, ICA Diploma

Role:

The purpose of the role is to execute the compliance monitoring plan. In addition, to work with the business and peers within the compliance function to ensure that regulatory matters are managed in a professional manner by providing support, advice and the sharing of knowledge both to the business and to the wider compliance function within the bank.

The ComplianceDepartment exists to provide advice, support and guidance on all regulatory matters as they apply to the business, the management team and employees of the bank. This includes all matters pertaining to the FCA or other UK regulators as well as matters communicated by Corporate Compliance in respect of French laws and regulations. The Compliance Department works closely with Territory Compliance within the UK as well as Corporate Compliance in Paris and the Operational Risk & Permanent Control teams to support the business in complying with all regulatory matters.

Key responsibilities include:

  • Execution of thematic reviews and performing compliance monitoring to ensure that the business is operating within their regulatory risk appetite
  • Oversight and investigation of errors and breaches
  • Responsibility for managing own workload
  • Carrying out duties as assigned by the Senior Compliance Specialists

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