Our client is a global corporate and investment bank based in the City.
Overall responsibility for designated London Global Markets, and any other designated business, activities that are currently booked in the UK, as well as those cross-border activities that take place in UK, but are booked overseas.
Primary responsibility for Business Compliance activities in relation to defined businesses with the London Global Markets area in London. This will involve developing, compliance policies as well as coordinating and monitoring the effectiveness of compliance support.
Establish a strong relationship not only with these business units, but also with Head Office Markets Compliance staff, and relevant London Global Markets management in the UK.
Act as a back-up or stand-in for other defined businesses with the London Global Markets and other areas in London.
As a business advisory compliance officer, the incumbent will be required to deliver sound regulatory advice, as well as taking a proactive role in identifying potential compliance weaknesses and initiating measures to rectify them.
Responsible for providing that effective Compliance policies and procedures relating to the relevant London Global Markets businesses and any other designated London business are drafted and implemented.
Responsible for developing an effective routine monitoring plan for the London Global Markets area.
Responsible, in conjunction with other Global Markets Compliance team, for providing that an effective training programme is in place for the relevant London Global Markets businesses and any other designated London business.
The incumbent will be responsible for identifying any training gaps and either filling these, or escalating the matter as appropriate.
In relation to their areas of responsibility, the incumbent will contribute to routine Management Information and reports.
Strong knowledge of various compliance regimes impacting London Global markets, particularly the UK and EU, but also APAC and US (Dodd-Frank Act, Volcker Rule, MAD/MAR, MiFID II/R, EMIR, FATCA etc.)
Relevant experience working as business compliance with front office in an investment banking environment across a variety of business lines and products, particularly FI.
Previous exposure to commodities business an advantage.
For further information please contact Natalie Eshelby