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A top tier investment bank is seeking to hire staff into their Compliance Desk reviews team. This team is responsible for testing the supervisory, administrative and operational controls associated with policies and procedures and independently assesses and reports on areas of potential reputational or regulatory risks.

This is conducted using a risk based compliance desk review programme throughout the EMEA region.

They are looking to acquire staff from either; a compliance background, internal audit or front office.

Day to day responsibilities:

Helping performing a risk assessment of the business to prioritise areas for review

Providing supervisory oversight and direction to junior team members

Leading/performing reviews, including the following aspects:

• Validating compliance with established policies and procedures
• Validating compliance with applicable regulatory and exchange requirements
• Reviewing business practices
• Developing recommendations for corrective action based on review findings
• Working with line of business Compliance officers to agree appropriate action plans
• Reporting review results to line of business and senior management
• Following-up on action plans to verify that corrective action has been effectively implemented

Candidate profile:

You must have the ability to represent the Compliance department, enforcing a culture of compliance while considering the needs of the business

You must be motivated, energetic, detail-oriented, organised, articulate, willing to take responsibility, and comfortable speaking and responding to concerns and questions regarding each of the areas within their responsibility

In particular, you will require:

• Strong presence
• Strong analytical skills
• Strong time management skills
• Ability to quickly understand complex trading activities and business areas
• Ability to influence others to accomplish deliverables
• Ability to support point of view when challenged
• Ability to anticipate and provide pragmatic solutions to complex problems
• Excellent written and oral communication skills
• Strong interpersonal skills
• Constructive and positive approach to challenges
• Ability to work independently and in a team environment

If this sounds an intriguing opportunity and you’d like to discuss further, please email mark@holmessearch.co.uk. Job ref: COMPRTW3

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