Compliance Officer

London  ‐ Onsite
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Keywords

Description

Summary

To proactively provide compliance and regulatory advisory services to the X, Y and Z business lines ( business lines ) and any relevant support/operational functions, ensuring that the advice provided is suited to the needs of the business.

Main responsibilities

  • Advising on compliance and regulatory aspects of new products and participate in New Products Committee
  • Proactively maintain relationships and open communication with business lines and other control functions, providing support where necessary to address compliance requirements at earliest opportunity
  • Active participation in the maintenance of the risk cartography
  • Liaising with XXXX and other Compliance staff in overseas centres as required
  • Providing support in understanding the regulatory risks and impact of London-based market practices and FSA rules on staff based overseas
  • Active engagement and liaison with the Risk Assessment & Review Unit ( RARU ) which is responsible for day to day transaction monitoring and periodic desk reviews of the business lines
  • Liaison with the Policy Training and Registrations Compliance Team in respect of any new regulation and its impact on the business lines as well as development of new policies and registration of business line staff
  • Develop and deliver appropriate regulatory training for the business line using one-to-one and classroom methodologies
  • Reviewing marketing materials to ensure compliance with internal policies
  • Active participation in investigations
  • Ensuring timely and accurate responses to regulatory enquiries and liaising with internal groups to obtain information
  • Participating in the impact analyses of regulatory/exchange consultation documents, communication to business lines and ensuring subsequent implementation
  • Active involvement in compliance projects
  • Performance of team permanent supervision controls
  • Attendance at industry forums as required
  • Occasional travel to Paris may be required

Candidate Profile

  • Graduate level or equivalent preferred
  • Extensive trading floor-based compliance experience relating to Fixed Income and equity-related structured products and activities
  • A good understanding of the rules and regulations pertaining to structured products, financial promotions and managing confidential and price sensitive information flows
  • Fluent English is essential. French is an advantage, but not prerequisite
  • In-depth working knowledge of FSA and other regulatory rules
  • Knowledge of EU directives relating to financial services, as well as broad knowledge of AMF and ACP rules
  • Excellent influencing, presentation and report-writing skills

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Start date
ASAP
From
Scope AT Limited
Published at
17.05.2012
Project ID:
364481
Contract type
Freelance
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