• Assist in the operation of the Control Room to ensure that appropriate controls are operated effectively in the scope of business units (Insider Dealing, Conflicts of Interest, Watch/Restricted lists, Chinese Walls and any other applicable requirements); • Provide appropriate advice and guidance to the business to ensure that processes and controls are in place in relation to confidential information flows; • Assist 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; • Provide appropriate advice, guidance, direction and interpretation to the business with regards to Control Room issues; • Develop relationships with peers across the designated areas of the business; • Participate in the development of a proactive compliance training programme to ensure that staff are aware of their respective responsibilities in relation to control room requirements; • Provide support to Control Room management in the interpretation/application of regulatory changes in Control Room processes, procedures, controls; and • When required work on compliance related projects ensuring these are delivered on time and to specification.
PERFORMANCE MEASURES
• Feedback from Business areas. • Feedback from Compliance teams. • Participation in the enhancements to compliance culture evidenced by collaborative relationships with the business, strengthening of controls where appropriate, reduction in regulatory breaches and improvements in Customer Treatment metrics (relating to Culture). • Accurate and proportionate interpretation of Control Room and regulatory requirements. • Timely and effective resolution of compliance related issues. • Effective implementation and maintenance of controls. • Timely and effective resolution of Control Room issues.
Who we're looking for
Competent compliance candidates looking for a challenging new opportunity within the control room function
About our client
Leading UK bank based in London
What's on offer
Competitive basic and package on offer!
Michael Page Contact For further info, apply or phone on 0207 645 1419. Job Ref: 13221010 Your application will be sent to Sumrana Saleem.
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