Compliance Officer - Leading Private Bank

JMEWPBA

City

Up to 90k + good benefits

Compliance Officer - Leading Private Bank

A leading Private Banking institution is looking to hire a senior compliance individual to carry out the following duties:

• Assess and analyse Compliance and Regulatory issues.
• Assess and analyse the impact of proposed new products, services and procedures.
• Assist business management in the development of policies and procedures designed to achieve and ensure compliance with firm and regulatory requirements; Provide clear advice on the application of UK, MiFID and US rules (where applicable) and firm policy.
• Work with global and regional compliance management.
• Identify, investigate potential rule and policy breaches, conduct investigations, coordinating corrective action with other control functions as necessary/required.
• Keep abreast of industry trends and "hot issues" and anticipate areas of focus and attention of regulators, keeping business management and Compliance colleagues informed.
• Work with Legal & Compliance colleagues, initiate ongoing discussions with regulators to effect outcome of proposed regulations.

Candidate:

• Proven experience working in a similar role.
• Detailed working knowledge of Investment Banking products and alternative investments.
• Previous work experience in Investment Banking, niche Private Banking or Alternative Asset Management
• Ability to work in a fast-paced, dynamic and demanding environment
• Good interpersonal skills especially the ability to liaise at all levels, internally and externally, e.g. Business Managers, Audit, Risk Management, Legal , other line of business and core Compliance personnel, and Regulators.

If you wish to learn more about this role please contact Ed Wacher on 0207 614 7695 or send your resume to ewacher@jmagill.com

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