Senior Compliance Manager / Private Banking
- SalaryAttractive plus bonus & benefits
- LocationUnited Kingdom, London
- SectorCompliance & Regulation, Securities & Wholesale Banking, Fund/Asset Management, Investment Banking/Stockbroking, Commodities/Futures
- PublishedAugust 22nd 2012
Our client, a leading global private bank is looking for a Compliance Advisory Officer to provide advice, guidance and support to the front office in all aspects of their private banking business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.
• Provide regulatory and transactional guidance and advice to the front office.
• Liaise with and provide guidance to Senior Management.
• Keep Senior Management informed of regulatory changes and assess the impact on relevant business activities.
• Assist senior management in their responsibility for complying with all relevant regulations, including the provision of advice on compliance issues.
• Attend as required close and continuous supervision meetings with the Financial Services Authority and other regulatory bodies.
• Actively support the business by providing detailed compliance advice and guidance in relation to existing and new business initiatives.
• Deputise for the Head of Compliance Advisory on an ad hoc basis.
• Monitor changes to business practices and products to ensure that compliance procedures and controls are adequate to cover them.
• Liaise with the relevant audit department in relation to compliance matters including the provision of technical support and guidance and with other control functions.
The preferred candidate will ideally have either a private banking, wealth management or securities background and demonstrate a strong understanding of private client business. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, please email your C.V. to firstname.lastname@example.org or call Inan Rashid on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.