Vp Compliance Advisory - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

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 integrated Global Compliance team to drive transmission of Compliance policy, procedures and practice into the business and support businesses development of effective control frameworks and a strong compliance culture;
Realtime and responsive advice to the business and other infrastructure functions on matters arising daytoday, as well as assisting and overseeing junior members in the team to perform these tasks, for example: review of transactions including those thatpose conduct and reputational risk, trading queries relating to market impact / restructuring, potential conflicts of interest, review of wall crossing requests, nonmarket price transactions, client complaints, preparing meeting packs and lead briefings forsenior business and Compliance managers.
Proactively engage with colleagues across the Compliance function and coordinate globally to ensure consistency of compliance advice and coverage according to the Compliance Target Operating Model;
Contribute to relevant business and/or crossdepartmental Compliance projects and participate in and working groups as required, including regulatory change initiatives, aiming to achieve forwardthinking solutions to changing regulatory requirements;
Represent Compliance in various governance fora and controls review meetings, proactively participate in dicussions and check and challenge to assist the business to operate a robust controls framework;
Identify and assess potential breaches of Compliance policies, e.g. performing voice surveillance, investigating surveillance alerts, detective controls reports, and/or business escalations, as well as assisting and overseeingjunior team members performingsuch tasks; ensure breaches and remedial actions are formally logged and tracked and used as a tool to drive cultgural change within the business;
Conduct high quality Compliance Verification Checks in a comprehensive, accurate and timely manner, ensuring all reporting and recording standards are met and followup actions are completed;
Assist with regulatory and internal audits and respond to regulatory and exchange enquiries; advising the business and Internal Audit on Compliance view on issues identified, opining on remedial action plans;
Leading reviews of new products and services (NAPA) and other processes involving Compliance, e.g. Conflict of Interest registers refresh, product governance related reviews, industry codes related reviews, etc.;
Taking a lead role in the successful delivery of the annual training plan, leading development and delivery of bespoke Compliance training, including identifying requirements, which may arise from, for example, a control gap being identified, changing regulationrules or other issues or lessons learned.

Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.