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Our client is a highly successful and growing Investment Bank. Due to continued growth globally, they are looking for a Compliance Manager to join the Compliance team, based in London. This team supports the Division in ensuring that it fulfils its legal and regulatory obligations and avoids reputational damage, with a focus on supporting activities in Europe, the Middle East and Africa.

This position offers an excellent opportunity to apply your compliance experience in a dynamic, commercial and fast-paced environment.

In this role, your key responsibilities include:

• Provide advice to the business
• Conflicts checking, and procedures for managing conflicts of interest
• Undertaking monitoring to ensure compliance with policies and procedures and regulatory requirements and assisting to resolve issues identified
• Incident and breach reporting
• The development, implementation and updating of divisional policies, procedures and systems
• Assisting with regulatory liaison, applications, investigations and inquiries involving the business
• Assisting with compliance reporting to senior management and the central compliance team
• Development, delivery and monitoring of compliance training
• Monitoring changes in applicable regulations, rules and regulatory interpretations to ensure ongoing compliance by and minimisation of regulatory risk for the business
• Providing compliance input into joint venture arrangements, principal investment acquisitions and new business activities

To be successful, you will:

• have gained at least 5 years experience in an investment banking, legal or regulatory environment, preferably with experience in financial services compliance
• posses a working knowledge of United Kingdom capital markets and financial services laws, regulatory environment and products, and preferably some experience of European, Middle East or African requirements
• have an interest in having greater involvement with the business
• possess the ability to work independently, determine priorities and meet deadlines
• have strong interpersonal skills, initiative and a good eye for detail
• have strong written and verbal communication skills
• have the ability to take a pragmatic, commercial approach to compliance whilst achieving desired outcomes

Interested applicants should contact either Samantha Harrison or Annabel Roberts on 020 7969 2710 for an initial discussion or alternatively email their CV to enquiries@harrisonandroberts.co.uk

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