To protect the banks brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:
* aligning regulatory priorities with the Business and bank;
* establishing and maintaining a strong, effective control environment; and
* identifying and communicating compliance risks inherent in the business to senior management and the business - particularly in relation to FX.
Contractor within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting the following banks London businesses: FICC and specifically FX.
* advising senior business management on banks policies and regulatory matters;
* compliance contact for transactional and regulatory queries;
* assisting the Compliance department with implementing key regulatory initiatives;
* drafting appropriate Compliance communications;
* providing pro-active and timely advice on regulatory and firm policy requirements;
* undertaking ad hoc Compliance monitoring reviews;
* devising Compliance policies, procedures and processes to enable banks business units to comply with current regulatory and firm policy requirements;
* devising and delivering appropriate training and other forms of communication and monitoring adherence to such training and communications;
* resolve Compliance/regulatory issues identified from surveillance and other oversight functions, e.g. Internal Audit;
* collating and producing the relevant MI
* participating in required internal investigations into potential breaches of regulatory and firm policies;
* advising and assisting Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to global initiatives/projects;
* working with Group Law functions in London and advise on regulatory matters affecting businesses comprising primary areas of responsibility; and
* assisting Compliance Monitoring with devising appropriate regulatory desk monitoring programmes.
* where necessary represent Compliance at 1LOD committees such as PGC and Best EX Committee
* work with compliance partners to close out actions in relation to a key FX project and other projects as required.
* strong understanding of FICC trading and sales environments (specifically FX)
* strong understanding of the FX Code
* strong understanding of FMSB
* strong understanding of the UK regulatory environment;
* strong understanding of the FCA Handbook - in particular, COBS, MAR, SUP and SYSC;
* strong understanding of issues pertaining to public /private information flows;
* good understanding of algorithmic trading and strategies;
* excellent written and verbal communication skills;
* strong analytical skills;
* strong attention to detail;
* good interpersonal skills;
* flexibility in attitude /approach to work;
* good use of initiative and organised; and
* good practical knowledge of Word, Excel and Power Point.
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.