Job Vacancy Details
Compliance Manager - Front Office Business Advisor
Financial Services
London
Permanent ⁄ £60000 - £70000
Updated August 17, 2008
To manage, monitor and support the Front Office areas in the adherence to established policies and procedures. This includes Provision of Regulatory advice, encompassing Risk Identification, FSA registration advice and guidance and mandate recommendations. The New Product Approval Process (NPA) and Complex Transaction Review (CTR) also form a large part of the Front Office Advisory role, including implications arising from the development of new products. Providing advice and guidance on all policies and procedures relating to Front Office business, identifying and mitigating risks, taking into consideration Confidential Information, Chinese Walls and Market Abuse. Oversight and support of the International Treasuries and Cross border activity is continuously monitored as part of the Front Office Advisory team activities.
• Within areas of responsibility, ensure 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 advice, guidance, direction and interpretation as regards to compliance and financial crime issues and develop compliance relationships across the designated areas of the business.
• Review and, where appropriate, sanction 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.
• Provide support to Senior Management in the interpretation of regulatory changes and their likely impact on processes, procedures, controls and products.
• When required initiate/manage compliance related projects ensuring these are delivered on time and to specification.
• Manage, motivate, develop and appraise direct reports to ensure that their performance meets the present and future needs of the business.
Who we're looking for
• Excellent product knowledge.
• Excellent communication skills.
• Proven track record of working in a compliance product advisory role.
About our client
Reputable Financial Services Institution.
What's on offer
Competitive Package.•
Michael Page Contact
For further info, apply or phone on 020 7645 1466.
Job Ref: 12952988
Your application will be sent to Elizabeth Slaughter.
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