Complinet | Recruitment | Jobhttp://www.complinet.com/recruitmentjobs/job/details/id/1180855000 - 60000 Annually | Location: London | Sector: Compliance & RegulationSecurities & Wholesale BankingInvestment Banking/Stockbroking | Published: March 15th 2010 | <p> </p> <p> </p> <p>My client is a global financial services house with a strong presence throughout Europe.</p> <p>The successful incumbent will assist with the continued development and execution of a comprehensive risk based compliance monitoring programme.</p> <p>Responsibilities will include:</p> <ul> <li>Compliance monitoring covering a range of activities, primarily across the regulated Private Banking business and also Capital Markets.</li> <li>Email monitoring - assist in reviews of daily exception reports in Capital Markets</li> <li>Follow-up investigations as required as a result of Email monitoring or business/regulator-generated enquiries.</li> </ul> <p>The ideal candidate will possess as many of the following as possible:</p> <ul> <li>Broad knowledge of the UK regulatory framework in particular FSA COBS and SYSC.</li> <li>Basic knowledge of US SEC requirements applicable to investment management/ advice. </li> <li>Broad product knowledge of investments offered to Private Banking clients. </li> <li>At least 18 months experience of Private Banking (or Private Client Investment Management) Compliance </li> <li>Some Compliance Monitoring experience</li> <li>Ability and willingness to accept accountability, demonstrate initiative, work with limited direct supervision and support effective cross-unit co-operation, information sharing etc</li> </ul> <p>For more information on this role please send a CV to cbrowne@jmagill.com or call Catriona Browne directly on 0207 614 7691</p>