Jobs
>
London

    AVP, Compliance Advisory - London, United Kingdom - First Abu Dhabi Bank (FAB)

    First Abu Dhabi Bank (FAB)
    First Abu Dhabi Bank (FAB) London, United Kingdom

    3 days ago

    Default job background
    Description

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole.

    Join us and leave your mark on the industry. We are looking for an experienced AVP, Compliance Advisory candidate for our FAB office in London, United Kingdom . Let's work together to achieve great things and unlock new possibilities for our employees, customers, and communities.

    Job Purpose

    To ensure that the FAB business in the UK is carried out in accordance with local rules and regulations and to provide updates and information on compliance matters to the Head of Compliance (UK). Manage and monitor compliance requirements in the UK and assist the business in achieving compliance with UAE and local regulations as well as Group and local policies and procedures.

    Key Accountabilities

    • Provide up-to-date technical Compliance advice, guidance, training and support in relation to all regulatory matters applicable to the UK branch, with significant focus on the Global Markets, MiFID II, EMIR-related elements of the relevant business lines as well as cover for Global Banking Coverage and Private Banking Compliance as part of the Advisory team.
    • Regulatory Frameworks: Support and advise the business on operationalising Compliance frameworks to support key initiatives – such as GM Enhancements, Transformation/Integration and Product Development and Governance.
    • Regulatory Horizon Scanning: Support horizon-scanning activities, engaging with key stakeholders to review and act upon relevant new or revised regulations that impact the branch.
    • New Product Review: Review new product proposals and provide advice on applicable regulatory requirements and necessary permissions to support new activities.
    • Regulatory Relations: Together with the Head of Compliance & VP Compliance Advisory, assist with and promote a transparent and effective relationship with UK regulators including proper coordination and preparation for exams, visits and/or calls.
    • Reporting and Issue Closure: Support the delivery of succinct and accurate Compliance reporting at branch and Group-level, ensure smooth delivery of duties/tasks and manage follow-ups on corrective actions arising from the Compliance Monitoring Plan and GIA actions.
    • Legal liaison: Acting as a key interface with Group Legal on regulatory or legal matters affecting the UK branch.
    • Engage and collaborate with other Compliance resources, as required, to support the Compliance Management Framework, Compliance Strategy and to ensure seamless coverage of Policy & Procedure updates and investigations.
    • Perform other additional tasks as required from time to time as directed by the Head of Compliance or the Head of International Compliance in Head Office. E.g. support Regulatory Compliance frameworks such as FATCA/CRS, Cross-Border and Market Abuse.

    Qualifications & Experience

    • 5+ years' Compliance experience preferred – either in an Advisory role within a Wholesale Banking or Private Banking environment.
    • Degree educated with Legal, Banking and/or Compliance qualifications.
    • Relevant experience in a Compliance or Audit function within an international bank, ideally experienced at working within a matrix management organisation across multiple cultures.
    • Excellent demonstrable working knowledge of UK and EU banking regulations. Ability to work under pressure and to tight deadlines.
    • Strong analytical, interpersonal and communication skills with excellent attention to detail.
    • Fluent in English, with very strong written and presentation skills with a proven track record of influencing.
    • Proactive, with the ability to generate ideas, think creatively and develop pragmatic solutions.
    • Discreet, with high levels of integrity and able to handle highly sensitive information with absolute confidentiality.
  • eFinancialCareers

    Compliance Advisory

    1 week ago

    eFinancialCareers London, United Kingdom

    Responsibilities: · - Conduct compliance risk assessments and develop appropriate mitigation strategies · - Monitor and implement regulatory changes and ensure our firm remains in compliance with all relevant laws and regulations · - Provide compliance advice and training to busi ...

  • Morgan McKinley

    Compliance Advisory Officer

    4 days ago

    Morgan McKinley London, United Kingdom Part time

    Responsibilities below: · - Review/audit/investigation requests from Exchanges and Regulators · - Research in relation to keeping up to date on financial regulatory developments · - Monitoring and problem solving with regards to MiFIR transaction reporting · - Monitoring and prob ...

  • TP ICAP

    Compliance Advisory Associate

    1 week ago

    TP ICAP London, United Kingdom

    Job Description · The TP ICAP Group is a world leading provider of market infrastructure. · Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovativ ...

  • Meraki

    Compliance Advisory Officer

    5 days ago

    Meraki London, United Kingdom

    **Compliance Advisory Officer** · Perm Role · Financial Services · London · Date: 11/05/2023 · Start Date: ASAP · We are currently recruiting for a Compliance Advisory Officer on behalf of our financial services client. This role is ideal for someone with good working knowledge o ...

  • eFinancialCareers

    Head of Advisory Compliance

    5 days ago

    eFinancialCareers London, United Kingdom

    Our client, an Asset Manager, is looking for an experienced Head of Advisory Compliance to join their growing team. Reporting to the Head of Compliance and with oversight for a small team, you will have broad compliance advisory responsibilities across allof the business. Duties ...

  • eFinancialCareers

    Compliance Advisory Manager

    5 days ago

    eFinancialCareers London, United Kingdom

    Key responsibilities: · - Advising the business on policies and procedures · - Financial promotion sign-off (including associated monitoring controls) · - Compliance related funds work related to in-scope jurisdictions eg Prospectus reviews, due diligence questionnaires, due dili ...

  • TP ICAP

    Compliance Advisory Associate

    1 day ago

    TP ICAP London, United Kingdom

    Job Description · Compliance Advisory Associate - future opportunities · TP ICAP Group Overview: · The TP ICAP Group is a world leading provider of market infrastructure. · Our purpose is to provide clients with access to global financial and commodities markets, improving price ...

  • IQ-EQ

    Compliance Advisory Associate

    6 days ago

    IQ-EQ London, United Kingdom

    Company Description · IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide. · **Job Description**: · **Res ...

  • Financial Conduct Authority

    Regulatory Compliance Advisory

    1 day ago

    Financial Conduct Authority London, United Kingdom

    Regulatory Compliance Advisory - Supervision Hub · Location · London (Stratford) · Salary · National ranging £65,200 - £77,000 and London from £67,900 - £80,000 · The Role · The role is one of technical leadership for the largest supervisory department in the FCA. Our 160 supervi ...

  • eFinancialCareers

    Compliance Advisory Manager

    5 days ago

    eFinancialCareers London, United Kingdom

    **Responsibilities**: · - Provide compliance advice & guidance in relation to regulatory requirements. · - Create and maintain policies and procedures in line with regulatory changes. · - Maintain strong compliance culture across the business, dealing with a range of business are ...

  • Eames Consulting

    Compliance Advisory Associate

    1 week ago

    Eames Consulting London, United Kingdom

    Great opportunity to join this growing compliance function. · Working as part of an established governance team this role with support the delivery of Compliance team's annual plan, including internal assessment and assurance activities to provide comfort to the boards. This role ...

  • eFinancialCareers

    Vp Compliance Advisory

    5 days ago

    eFinancialCareers London, United Kingdom

    Job Summary · - City of London · - Permanent · - JN · - Jan 11, 2023 · - £110k - £115k · **Job Description**: · Our client a leading London based Investment Bank who are looking to expand their compliance team and this is an exciting team to join · - Work as part of an integrate ...

  • LHH Recruitment Solutions

    Compliance Advisory Vp

    1 week ago

    LHH Recruitment Solutions London, United Kingdom

    Provide independent advice, oversight and challenge of risk management practices across FX Sales and Trading within the Markets & Securities Services businesses, and/or jurisdictions within the second line of defence to obtain reasonable assurance thatthey are operating in line w ...

  • eFinancialCareers

    Compliance Advisory Manager Uk

    3 days ago

    eFinancialCareers London, United Kingdom

    **Compliance Advisory Manager UK / EMEA** · **City of London** · **Permanent** · **£70,000 - £80,000** · cer Financial are working alongside a Investment Management Firm, who are looking for a Compliance Advisory Manager to join them on a permanent basis. · **The Responsibilities ...

  • eFinancialCareers

    Risk Advisory Compliance Director

    6 days ago

    eFinancialCareers London, United Kingdom

    My client is a stand alone regulatory consultancy backed by a global Legal practice. · They are looking to recruit a Director consultant with expertise in regulatory consulting within financial services. · The consultancy is established with 10 employees already and has been setu ...

  • eFinancialCareers

    Svp - Compliance Advisory Manager

    5 days ago

    eFinancialCareers London, United Kingdom

    An expanding international bank are looking to recruit a SVP Compliance Manager to join their business to work closely with the Head of Department to ensure delivery of workplans, monitoring and tracking, escalations and contributing to a strong complianceculture. · **Main Respon ...

  • eFinancialCareers

    Compliance Advisory Manager Uk

    5 days ago

    eFinancialCareers London, United Kingdom

    Do you have approximately 4-6 years' Compliance Advisory/regulatory experience within UK financial services, preferably asset management/wealth management? · Do you have at least 1-2 years management experience? · Are you experienced in advising on UK and EU compliance policies a ...

  • eFinancialCareers

    Compliance Advisory Esg Manager

    5 days ago

    eFinancialCareers London, United Kingdom

    Responsibilities: · - Provide technical advice on ESG legislation - in particular EU Sustainable Finance Disclosure Regulation (SFDR) · - Be a regulatory specialist who will help interpret and scan for ESG/sustainability issues and help the business understand the regulatory issu ...

  • eFinancialCareers

    Pensions Advisory Compliance Contract

    1 week ago

    eFinancialCareers London, United Kingdom

    Our client, a leading consulting firm, is seeking to recruit a Contractor to help with a new client project. Duties will include; · - Help set all Guidance & Policies beyond just regulatory needs · - Advise on proposed Operational SOPs pre implementation and suggest amendments an ...

  • eFinancialCareers

    Senior Advisory Compliance Officer

    1 week ago

    eFinancialCareers London, United Kingdom

    Job Summary · - London · - Permanent · - JN · - Feb 20, 2023 · - Competitive · **Job Description**: · Our client a leading London based Investment Bank who are looking to expand their compliance team and this is an exciting team to join · The oversight of Treasury will focus on ...