Description
A top tier Global Bank is actively looking for an Compliance Advisory Manager. The Compliance Advisory Manager MUST have broad/oversight Compliance experience and very strong understanding across Capital Markets product area's - Corporate DCM, Financial Institutions DCM, Bond Syndication, Debt Advisory, Loan Markets, Secondary Loan Syndicate etc. The successful candidate will advise across various business functions, so must be able to relate the complex nature of these business areas/trades/products to the correct Compliance processes.
Key Responsibilities
* Provide Compliance coverage to Capital Markets & Advisory, Structured securitisation, Conduit and Structured Credit Investments
* Provide Compliance oversight experience to the creation of various Policies
* Identifying potential areas of compliance risk and developing action plans for resolution
* Reviewing proposed, new and revised rules and regulations
* Drafting and implementing new policies and procedures and update existing policies and procedures
* Providing advice on new business and product proposals (CTR) to identify and address compliance and regulatory risk
* Conduct training on relevant regulatory matters for business units
* Collaborate with other departments (eg, Risk, Audit, Legal, etc.) to direct issues for investigation and resolution.
* Ensure compliance with the Bank's procedures and guidelines together with all relevant regulatory and statutory requirements where appropriate implementing actions to protect the Bank's business at all times.
Required Experience
* Understanding of the product areas (inc. Corporate DCM, Financial Institutions DCM, Bond Syndication, Debt Advisory, Loan Markets, Secondary Loan Syndicate)
* Knowledge of the FSA Rules
* Influencing in an appropriate manner
* Planning and control of workload
* Attention to detail even on tedious tasks
One of either Capital Markets/Investment Banking/Legal Advisory experience are required for this role.
Aston Carter Ltd is acting as an Employment Business in relation to this vacancy.