DCM Private Compliance Advisory - Senior Manager
- Salary£80k - £110k Annually Vary on Level
- LocationLondon, London
- SectorCompliance & Regulation, Investment Banking/Stockbroking
- PublishedJuly 13th 2012
A Leading Banking Institution is looking to take on a DCM focused Private Compliance Advisory Manager/ Senior Manager.
Duties and responsibilities / Accountability's
•Manage the compliance function as the number two in the department helping to manage workload and projects
•Provide Compliance coverage to Capital Markets & Advisory, including DCM, Bond Syndication, ABS, Risk Management Solutions, Financial Strategies and Conduit and Structured Credit Investments
•Acting as the primary contact for internal client inquiries, requests and ad hoc projects relating to covered business areas
•Identifying potential areas of compliance risk and developing action plans for resolution
•Directing / Escalating compliance issues to appropriate resources for investigation
•Providing daily regulatory advice and guidance regarding regulations and internal polices
•Reviewing proposed, new and revised rules and regulations
•Drafting and implementing new policies and procedures and update existing policies and procedures
•Providing advice on new business and product proposals (PGC) to identify and address compliance and regulatory risk
•Collaborate with other key Compliance functions including supporting the Control Room in managing wall crossings and conflicts
•Conducting reviews of and preparing responses to regulatory requests and inquiries
•Conduct training on relevant regulatory matters for business units
•Collaborate with other departments (e.g., Risk, Audit, Legal, etc.) to direct issues for investigation and resolution
•Assisting with annual regulatory risk assessment exercise and responding to regulatory inquiries and investigations
•Ensure compliance with the Bank's procedures and guidelines together with all relevant regulatory and statutory requirements where appropriate implementing actions to protect the Bank's business at all times.
This position expects the candidate to fully understand the DCM space with particular Fixed Income knowledge. For the right person, you will be expected to hit the ground running, adhere with the ethos of the organisation and its growth plans - in return you will be working with some of the most knowledgeable professionals in the DCM space, you will report and work directly with the Head of Capital Markets and you will have great ability to progress with the intention of hiring a junior within your first 6 months.