Compliance Business and Project Manager - Director level Compliance Business and Project Manager - Director  …

Holmes Search
in London, England, United Kingdom
Permanent, Full time
Last application, 24 Jan 20
100k-125k
Holmes Search
in London, England, United Kingdom
Permanent, Full time
Last application, 24 Jan 20
100k-125k
Fantastic opportunity to join the Compliance team of a, city based, small investment bank and act as the SME for MiFID II & EMIR, and the Compliance project coordinator.

Key Job Functions

 

•            Support the Head of Compliance and Compliance management team in the review of the policy and control framework, projects including working on the integration with the bank to align policy and control frameworks

 

•            Support the Head of Compliance and the Compliance management team and act as the MiFID II & EMIR SME

 

•            Act as Compliance projects coordinator and owner to ensure workflows are clearly identified and assigned with clear timescales for delivery

 

•            Act as SME for key regulatory focus such as transaction reporting, Libor discontinuation and other infrastructure matters, Brexit impact and new offices to be opened.

 

•            Review MI packs and contribute towards improving these as required to comply with all regulatory and internal policies and procedures, regulations and guidelines.

 

•            Contribute to the compliance process for Horizon scanning

 

•            Proactively consider, and where appropriate, suggest Compliance initiatives which would have a positive impact on the Compliance Department, other teams.

 

Responsibility and Authority

 

Main activities for the role include:

 

•            Report and support the Head of Compliance and the Compliance management team and act as the MiFID II & EMIR SME

 

•          Maintain close liaison and good relationships with all stakeholders including Senior Management

 

•          Review policy framework and provide management feedback to the team and get involved in compliance projects including working on the integration with the bank to align policy frameworks

 

•          Act as Compliance projects coordinator and owner to ensure workflows are clearly identified and assigned with clear timescales for delivery including tracking of key milestones

 

•          Act as SME for key regulatory focus such as transaction reporting, Libor discontinuation and other infrastructure matters, Brexit impact and new offices to be opened.

 

•          Review MI packs and contribute towards improving these as required to comply with all regulatory and internal policies and procedures, regulations and guidelines for Senior Management.

 

•          Contribute to the compliance process for Horizon scanning

 

•          Proactively consider, and where appropriate, suggest Compliance initiatives which would have a positive impact on the Compliance Department, other teams or in general.

 

•          Be part of the Compliance management team and act as the MiFID and EMIR SME.

 

•          Working closely with the Compliance Advisory team, Central Compliance and Monitoring and Surveillance teams

 

•          In conjunction with other members of the Compliance team assist in the: design and implementation of an effective Compliance Risk Assessment program; implementation of an Annual Compliance Plan; and execution and reporting of the Compliance Monitoring program;

 

•          Be a key member of team to assist with the progress and communicate Conduct Risk Agenda;

 

•          Along with the team train all staff on required Compliance and Conduct materials, including the development of relevant materials;

 

•          Assist with preparation and responses to internal and external regulatory exams/audits;

 

•          Monitor UK and global regulatory developments

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