Business Oversight Compliance

London Temporary
  • Opportunity to work within a dynamic team
  • Great career development within this role and business

About Our Client

The client is a British universal bank. Their businesses include consumer banking and payments operations around the world, as well as a top-tier, full service, global corporate and investment bank.

Job Description

  • Providing compliance coverage of Equity Capital Markets (ECM), Equity Syndicate, Corporate Broking and M&A
  • Participating in initiatives in support of the firm's conduct and risk management agenda e.g. CRA, RCSA,cross border etc.
  • Supporting the provision of effective second line 'check and challenge 'to assist Banking in meeting its conduct and regulatory obligations including devising and conducting verification checks for the Equity Syndicate and Banking
  • Supporting on the delivery of advice on regulatory requirements including but not limited to: the FCA Handbook, MAR, and MiFID.
  • Advising on firm policies and procedures
  • Assisting in the Development of policies and guidance to assist Banking to understand and comply with its conduct and regulatory obligations
  • Assisting in the development and delivery of training
  • Assisting Compliance support in the interpretation and implementation of new regulation
  • Participating in Compliance projects and initiatives
  • Assisting the ECM & M&A Compliance team in maintaining strong partnerships with business /other infrastructure areas

The Successful Applicant

  • Experience(of at least 2 years) in an AVPor comparable role gained as part of a Private Side Advisory Compliance team either covering ECM/M&A or within a Compliance Control Room.
  • Strong verbal and written communication; good interpersonal, influencing, and negotiating skills and commercial awareness
  • Product knowledge and knowledge of Compliance touchpoints regarding the coverage area (ECM/M&A)gained as part of Private Side Advisory Compliance or Compliance Control Room team
  • Strong team player
  • Ability to identify potential conduct issues, to contribute effectively to develop strategies to mitigate risk and to escalate as appropriate
  • Consistently demonstrate behaviour in line with the Barclay's Values and the ability to act as a culture carrier and role model for others in the team, leading by example
  • Independent ability to check and challenge and escalate when appropriate
  • Some understanding of the UK/EU regulatory environment and relevant regulation including subject matter expertise in relation to: the Market Abuse Regulation, MIFiD and the FCA Handbook would be an advantage

What's on Offer

The chance to work for a dynamic team with huge potential for growth within an extremely established institution. Proactive candidates gaining the ability to be a lead in or manage complex projects.

Flexible working available.

Andy Parrott
Quote job ref
Phone number
+44 207 645 1452

Job summary

Contract type
Consultant name
Andy Parrott
Consultant phone
+44 207 645 1452
Job reference