Compliance Officer - Top Investment Bank

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Compliance Training Officer - Investment Bank

A leading International bank in London is seeking a Compliance Training Officer with a broad understanding of FCA regulatory requirements as they apply to wholesale banking to implement a risk based Compliance Training Plan covering core UKand European regulatory developments, produce compliance training literature and attend relevant compliance, regulatory and industry forums.

Responsibilities will include:

  • Designing, coordinating and implementing a risk based Annual Compliance Training Plan to capture Compliance and Financial Security Training including a Training Needs Analysis of individual business areas and key regulatory changes.
  • Ensuring that the Training Plan is designed to formally enforce and enhance the Compliance Culture of the Firm.
  • Presenting the Annual Training Plan to senior management for ratification and report upon progress on a periodic basis at senior management committees as directed.
  • Maintaining and tracking the Compliance Training produced and budget against the Plan
  • Delivering face to face training on key compliance topics on an on-going basis at 'open invitee forums' and at regular business meetings
  • Taking ownership of all Compliance e learning courses, updating these as necessary or re-writing materials with external consultants if appropriate to ensure that e Learning is appropriate to the needs of the bank.
  • Administering training on Compliance e-Learning courses, ensuring that all relevant staff have received core compliance training such as Market Abuse, Conflicts of Interest, FIDES and TCF)
  • Creating regular Compliance Bulletins on 'hot topics' of regulatory and compliance interest for all staff on a periodic basis.
  • Maintaining relationships with Regulatory Training Consultants, ensuring that ongoing meetings are held to ensure that the Compliance Training plan is current and reactive to change.
  • Maintaining the Compliance Intranet site and update this as requested.
  • Taking chief editorial responsibilities for the Compliance Quarterly magazine, coordinating and writing regulatory compliance articles, interviews, quizzes and taking ownership of delivery of a quality magazine to all members
  • Updating the Compliance Annual Affirmation online.
  • Oversee the creation and documentation of multiple Compliance and Committee M.I. Reports as directed by the Head of Central Compliance, on an ongoing basis.

  • Strong Compliance experience gained within a well- established compliance department of an investment bank or regulatory Affairs experience with a Regulator or a top tier Consultancy firm, with a focus on IB issues.
  • Detailed knowledge and understanding of FCA/PRA Rules and the compliance issues pertinent to a wholesale investment bank.
  • A proven track record of developing and implementing a risk based Compliance Training Plan

Salary £55,000 to £65,000 (+ highly competitive package)

Location -London

This is a fantastic opportunity for a professional for a Compliance Training professional to progress their career rapidly within an industry leading team.

If you are interested in applying for this position, then please send a copy of your CV in Word format ASAP highlighting your relevant experience to Ryan Graham at