Private Side Compliance Advisory - Contract
Location: London, England, United Kingdom
Salary: GBP800 - GBP900 per day
Purpose of the role: You will act as compliance officer covering primarily the Financial Institutions (FI) Origination and Structuring areas.
You will advise the business on the application of rules, laws and internal policies and provide training and education in line the business needs and internal Conduct Advisory plans. You will contribute to create an environment of risk control and contribute to the development of compliance guidance and policies. You will also monitor any relevant regulatory developments that affect our business and work with the rest of the Conduct Advisory function to deliver the best possible compliance coverage.
- Advice, guidance, rule interpretation
- Provide regulatory advice and analysis in relation to the full product life cycle from product design to post-sales review, business initiatives, bespoke projects, remedial activities, transactions and investigations.
- Provide direction and advice to businesses on the interpretation and potential impact of current and future regulation in order to protect current income streams and identify potential opportunities for new income streams.
- Challenge the business in respect of their completed risk assessments.
- Maintain a detailed understanding of the business of front to back and the synergies between other business lines to enable challenge and to provide advice.
Contribution to enabling functions
- Provide expert input on regulatory policy and conduct risk guidance.
- Design, develop policies, training and KRIs and deliver content, requiring a good knowledge of the intersection of conduct, regulation, business and market segment.