Our client is a successful banking firm based in the City.
Cultivate a positive compliance culture across the universal bank by implementing proactive engagement with stakeholders
Providing appropriate advice, instruction and influence where needed to mitigate the risk in public side business areas.
Develop and deliver training materials .
Investigate any identified potential or actual breach of relevant rules and regulations
Assist in reporting to senior management and the regulatory authorities and in rectifying the situation.
Primary advisor to the business and support functions on securities product suite with a focus on Fixed Income Working closely with stakeholders in the first, second and third lines of defence and flagging any concerns or issues and maintaining an effective public side compliance framework.
In conjunction with other members of the Compliance team assist in the design and implementation of an effective Compliance Risk Assessment program; assist in implementation of an Annual Compliance Plan; and support the execution and reporting of the Compliance Monitoring program;.
Develop, update and provide Compliance input to relevant Compliance Policies, Departmental Procedures and internal Compliance Department processes inputs
Assist with preparation and responses to internal and external regulatory exams / audits;
Recognised subject matter expert in MiFID, MAR, Conduct Risk for Fixed Income and with some knowledge and understanding of Equities.
Demonstrated understanding of relevant existing and expected regulations for a banking/capital markets environment
Experience of advising businesses on how to comply with laws, rules and regulations as well as investigating potential or actual breaches relevant laws, rules and regulations
Positive approach to providing solutions.
Ability to multi-task and work well under pressure.
Ability to work independently and as part of a team.
Able to build relationships and have good rapport with stakeholders.
For further information please contact Natalie Eshelby