Compliance Advisory Officer Compliance Advisory Officer …

Morgan McKinley
in London, England, United Kingdom
Temporary, Part time
Last application, 24 Feb 20
Competitive
Morgan McKinley
in London, England, United Kingdom
Temporary, Part time
Last application, 24 Feb 20
Competitive
Compliance Advisory Officer
A large & well known financial services firm in the city are searching for a FI & Rates Compliance Advisory SME to join them on a long term contract

12 month Fixed Term contract for a large & well known Financial Services organisation based in central London.

Paying up to £140,000 per year.

Job duties:
  • Compliance advisory role focused on FI (Fixed Income) & Rates product knowledge.
  • Stakeholders including Senior Management, Desk Heads, and support function Heads, internal and external auditors and other members of the control function

* Assist in the identification of upstream regulatory risk, and working to respond to or

mitigate any such identified risks

* Working with the functional leads to help operationalise any manually intensive or key

controls, processes or procedures and identifying any potential cross functional

efficiencies

* Design of new controls and optimising existing control frameworks as required (i.e.

operational changes or regulatory requirements)

* Supporting the embeddedness of control frameworks across the Compliance function

and helping transition of project initiatives into BAU

* Supporting the Compliance team in understanding the business' plans and strategies

to ensure appropriate support is provided by the functions

* Working with all the functional leads and any required members of the function to

ensure any remedial actions, however identified, are addressed

* Working with the functional leads and their teams to design and produce reporting

and MI appropriate for both operational teams and governance for a

* Provide an active role as a member of the Advisory Compliance team, participating in

relevant committees, groups and fora as required

* Review the output from the Monitoring Programme and ensure that any remedial

action necessary is carried out

* As required, oversight of Compliance links with EMEA offices, assisting with the implementation of compliance standards

Skill based Requirements

* A track record of analysing advice received from external parties and ensuring that

the advice is put in the context of the current business environment, and

unambiguous ownership agreed, assigned and tracked

* A track record of managing outcomes that are critical to the success of a compliance

activity, through demonstrating the value of that compliance activity to stakeholders

outside the Compliance Department

* Ability to work with senior stakeholders to implement agreed vision and strategies;

* Track record in delivering automated operational solutions

* Ability to design and deliver solutions for managing rule driven requirements across

functions (whether regulatory, legal, statutory, financial etc.)

* Ability to influence staff across all levels in adopting new initiatives, processes or

Procedures

* Excellent planning and execution skills, attention to detail, analytical ability and

problem-solving skills.

Knowledge based requirements

* Understanding of Wholesale Financial Markets including inter-dealer broking

* Understanding of risk based approaches and assessments as well as control design

and implementation in Risk and Compliance.

Experience based requirements

* Solid experience within Compliance / Regulatory law across diverse fields of

knowledge;

* Broad based compliance experience, covering front office and awareness of back

office, settlement and clearing systems.

* Business/product aligned Compliance experience and ideally Fixed Income/Rates

Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.

BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.

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