Our client is a successful banking firm based in the City.
THE RESPONSIBILITIES:
Obtain reasonable assurance that there are adequate documentation, procedures
Manage and develop the team members to ensure that all areas of responsibility are appropriately addressed, compliance skill-sets are enhanced and ensuring that opportunities are fairly distributed amongst all colleagues,
Promote the development and integration of Compliance Advisory systems and processes to facilitate the efficient and effective response to regulatory and business expectations
Harnessing new technology and automation and embracing technological developments
Drive proactive, efficient, effective and consistent responses to rapidly changing or divergent regulatory requirements
Collaborating with the Regulatory Affairs Team
Cultivate a positive compliance culture across the universal bank implementing proactive engagement with stakeholders and providing appropriate advice, instruction and influence
Develop and deliver training materials
Investigate any identified potential or actual breach of relevant rules and regulations and assist in reporting
Advise and provide guidance to senior management of significant issues and updates.
As a senior member of staff, seek opportunities to take an active role in wider Group initiatives
Be accountable for an effective public side compliance framework, working closely with stakeholders in the first, second and third lines of defence and flagging any concerns or issues.
EXPERIENCE REQUIRED:
Recognised subject matter expert in MiFID, EMIR and related products including FX, Money Market, Derivatives, Fixed Income, Equities and transaction reporting from an execution and/or advisory perspective.
Demonstrated understanding of relevant existing and expected regulations for banking
considerable 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.
Good communication
For further information please contact Natalie Eshelby
