Role details

Compliance Manager

City of London   •   £600 - £700 per day (£155,988 - £181,986)   •  Temporary

Bullet points

  • Experience working in a compliance office, specifically within Fixed Income
  • Ability to present policy in easy to understand training material

About Our Client

Investment Bank

Job Description

  1. To take a lead in identifying the significant regulatory compliance risks that the bank faces (identification)
  2. In partnership with the business and other risk functions design and implement controls to protect the bank from those risks (prevention)
  3. To independently monitor and the banks compliance with relevant laws and regulations, internal risk policies and the bank regulatory appetite (Monitoring and Detection)
  4. Reporting matters that warrant attention on the effectiveness of the controls in the management of the bank's exposure to those risks (Reporting)
  5. To resolve compliance difficulties as they occur (resolution)

  6. To advise and provide guidance including training on the interpretation of regulatory requirements and the delivery of operations in alignment with the banks risk appetite (advisory)

The Successful Applicant

Provide support to the Head of GM FIC Compliance in ensuring the business areas understanding of external regulatory requirements and internal policy is kept current through the provision of high quality advice based upon current regulatory requirements, exchange rules, market practice or internal policies and procedures as they apply to the business.

Support the business areas in the execution of its activities in a regulatory complaint manner and in observance of the external regulatory requirements and internal policies, etc.

Act as a robust and effective 2nd line of defence through effective challenge and act as a guardian of the banks regulatory, ethical conduct and reputation and escalate matters appropriately to the proper level of seniority.

Act as proactive emissary of conduct risk promoting the values of the bank and raising appropriate challenge or escalation where there is evidence or strong likelihood of customer detriment or impact to market integrity arising from the conduct of the bank or its employees.

Assist in the Development of surveillance scenarios as appropriate for the area of product coverage responsibility or expertise

Participate in the Compliance annual risk assessments for all business

What's on Offer

6 Month Contract

Apply for this job

Click the Apply or LinkedIn button below or contact Ian Christie on +44 207 645 1457 quoting job reference 13745223
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