Compliance Manager

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Real Staffing
City of London
Published at:
flag_no United Kingdom
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Compliance Advisor, Global Banking Group

A fantastic new opportunity has arisen for a Compliance Advisor within a leading banking group in the city of London. You will be using your experience in wholesale products and services to provide advice to the Capital Markets Team that cover cash and risk management and International trade finance, working with products such as Bonds, FX and Derivatives.

Key accountabilities

o Provide advice on compliance policies and procedures and relevant laws, rules and regulations. Such advice may be general in nature or specific, and will typically also include new business initiatives and regulatory changes;

o Assist Compliance monitoring and audit teams in conducting reviews;

o Update policies and procedures in response to control challenges identified by management or Compliance Monitoring activities or in anticipation of, relevant regulatory rule changes;

o Respond to incoming enquiries from the FSA and the LSE;

o Review regulatory breaches and working with Operations and Front Office to implement enhanced controls where relevant;

o Keep abreast of regulatory developments (in particular Dodd Frank, MiFID II, EMIR and MIFIR) in order provide input and advice on systems, procedures and control;

Skills & Experience required:

o Knowledge and experience of wholesale products and services together with a good understanding of how Operations works in wholesale banking environment

o Knowledge of the regulatory requirements applicable to Operations functions, specifically Client Money and Custody, Transaction Reporting and Client Classification.

o Degree level educated or equivalent;

o Experience of working in a legal, accounting, regulatory or consulting background;

Location - City ofLondon

Salary - £40,000 to £50,000

Applications are open now so please send CV's to Ryan Graham at or get in touch on

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