Senior Compliance Advisory – Tier 1 IB

  • Salary:£550 - £650
  • Location:London, England, United Kingdom
  • Job Type:Contract, Full time
  • Company:Alexander Ash Consulting
  • Updated on:17 Oct 17

My client, a Tier 1 Investment Bank, is looking for a Compliance Advisory Specialist to join on a contract basis. The team are responsible for providing Compliance advisory services to the Banking and Capital Markets divisions the bank, and you role will be providing compliance support and oversight for DCM EME.

Senior Compliance Advisory – Tier 1 IB 

 

My client, a Tier 1 Investment Bank, is looking for a Compliance Advisory Specialist to join on a contract basis. The team are responsible for providing Compliance advisory services to the Banking and Capital Markets divisions the bank, and you role will be providing compliance support and oversight for DCM EME.

 

Key responsibilities:

  • Developing close working relationships with Front Office and other relevant infrastructure colleagues including Legal, Operations, Credit Risk and Operational Risk
  • Reviewing and advising on transactions, governance and controls , marketing and other matters relating to ongoing business activity, including identifying potential issues and aligning solutions with Bank and Compliance strategy
  • Work on policies and procedures, regulatory development, management information and surveillance initiatives
  • Supporting and influencing business projects with Compliance implications
  • Identifying Compliance training priorities and developing and delivering Compliance training
  • Advising on regulatory aspects of the handling of client complaints and litigation, including identifying and escalating emerging trends and issues

 

Key requirements:

  • Act as a culture carrier and role model for others in the team, leading by example
  • Experience and qualifications commensurate with a VP role gained in the Legal or Compliance departments of an investment bank or law firm.
  • Good understanding of the UK/EU regulatory environment and relevant regulation including subject matter expertise in relation to: the Market Abuse Regulation and the FCA Handbook
  • Good product knowledge - derivatives