Chief Compliance Officer UK - Investment Bank Chief Compliance Officer UK - Investment Bank …

Page Executive
in London, United Kingdom
Permanent, Full time
Last application, 03 Dec 21
Page Executive
in London, United Kingdom
Permanent, Full time
Last application, 03 Dec 21
This is the Head of Compliance for the UK in a mid sized investment bank, this individual will be the primary point of contact for the FCA and PRA and coordinate on all regulatory inspections.

A highly regarded international investment bank


· Oversight of the Compliance team in the maintenance of compliance policies

· Oversight of the compliance training programme, including implementation of the yearly training plan, identification of relevant training courses and the face to face delivery of certain training courses

· Oversight of the Compliance monitoring and surveillance programme. · Oversight of the review and implementation of the conduct risk framework

· Oversight of assessing and implementing relevant regulations and regulatory outputs (for example, speeches, good and poor practices, thematic reports, surveys, reports)

· Responsibility for the insider dealing and market abuse aspects of financial crime (excluding fraud, bribery and corruption, anti-money laundering, terrorist financing and sanctions)

· Responsibility for complaints handling. · Responsible for compliance reporting to senior management and relevant board(s)

· Responsibility for conduct rules training of Capital Markets London staff.


  • A university graduate or equivalent
  • Minimum of 10 years experience in compliance in the international banking and the wholesale financial markets
  • Experience and strong knowledge of UK regulations § Good knowledge and experience of dealing with the regulators
  • Ability to translate strategic priorities and adopt a proactive approach to the compliance mission and take a balanced view
  • Experience of establishing, reforming and managing teams
  • A logical and practical approach to work
  • Strong attention to detail and the ability meet deadlines with minimal supervision
  • An appreciation of regulatory risk and skills compatible with the dimensions of the role
  • An ability to communicate effectively both orally and in writing with a wide cross section of personnel both externally and internally

Job Offer

competitive package and excellent opportunity.

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