Compliance Advisor - Financial Markets - London

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Real Staffing
City of London
Published at:
flag_no United Kingdom
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Compliance Advisor - Financial Markets - Top Bank

A leading Banking Group in Londonis seeking a Compliance Advisor to act as a partner to Operations and other functional support teams within Commercial Banking and provide advice on regulatory requirements such as Client Money & Custody, Transaction Reporting and Client Classification. You will also play a key role in the design and implementation of an advisory framework along with Commercial Banking specific Compliance & Conduct policies, procedures and governance arrangements.

Responsibilities will include:

* Providing advice, guidance, direction and interpretation as regards compliance issues to relevant areas of Commercial Banking and its supporting operations and other functions.

* Establishing strong relationships with Commercial Banking COO and other functional support areas and assist in driving forward compliance and conduct culture within the organisation, at all times ensuring the business owns compliance and conduct risk.
* Supporting Senior Management in working with the business to ensure that all business undertaken meets regulatory requirements and that the business's responsibilities are correctly discharged.
* Delivering training to Operations and other functional support areas on policy changes
* Assisting the Senior Manager in ensuring that effective monitoring and control systems are in place in order that all compliance related issues are readily identified and
remedial actions implemented in order to minimise risk.
* Working with Senior Management, the business area and other compliance and conduct teams to develop regulatory risk assessments, document controls
and monitoring plans that are agreed by all stakeholders.
* Providing Compliance input and advice in order to facilitate the development of new products and services through attendance at relevant Committees in the absence of the Senior Manager.
* Assisting in defining and implementing compliance procedures for new products and services, assessing inherent risks before implementation, and providing advice and guidance in order that issues may be considered and resolved.
* Reviewing recommendations for improvements to processes, practices and procedures ensuring all changes are effectively planned, communicated and implemented with the minimum of disruption and that changes are understood by all affected parties.
* Providing support to Senior Management in the interpretation of regulatory changes and their likely impact on processes, procedures, controls and products.
* Working with other compliance and conduct teams to ensure appropriate regulatory requirements are understood, communicated and appropriate controls and remediation strategies implemented.


*Experience working in a large banking group or financial service firm.

*Broad knowledge of compliance and regulatory risk within the commercial banking space.

*Experience managing relationships with challenging stakeholders.

Salary - £70,000 to £80,000 (+ highly competitive package)

Location - City ofLondon

This is a great opportunity to advance your career rapidly within a highly successful team and a leader within the banking industry. If you are interested in applying, please send a copy of your CV asap to Ryan Graham at highlighting your relevant experience for the role.

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