Description
A great opportunity for an experienced Compliance Officer to cover the Global Markets Business function at a Top Tier Global Investment Bank in London. The role will cover Global Trading, Sales, Research Prime Services and Treasury business areas.
The main responsibilities will be providing Compliance SME to the business and actively monitoring risks and implementing strong risk and control frameworks in-line with Group policy and to ensure the business is conforming to external industry standards and legal requirements. Additional responsibilities will include the accountability for the Conduct Risk Standards applying to Employees, Corporate, Market and Customer Conduct.
The role holder will also be responsible for providing Compliance advice for new products, so experience in attending Team Sheet Committees, producing New Product Risk Assessment, and Structured Transaction Approval Procedures "STAR" is highly desirable
The ideal candidate will be experienced in the management and independent review of Financial Services Compliance policies and procedures.
Essential Experience
- Ability to provide Compliance SME in one or more of the above business functions
- Proven background in providing Compliance advice in a Banking environment.
- Strong relationship building and influencing skills
- Experience in identifying and resolving Market Abuse and Chinese Wall issues
Desired Experience
- Legal/Accountancy qualification