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Our client is a global investment bank. They are looking for a candidate to join their PA dealing compliance team - either a non officer or an AVP. The role will join a team of 3 and work closely with the wider compliance team and control room. Responsibilities include;

• Approval and set-up of staff broker accounts


• Review of personal account requests and assessment of permissibility including complex determinations


• Managing employee queries


• Assist with complex and high profile projects relating to the function


• Maintaining appropriate records in relation to approvals, breaches, contract notes


• Ensuring that appropriate steps are followed when employees terminates


• Liaising with the wider Compliance department both in the UK and Globally in relation to PA dealing matters


• Undertake and assist in co-ordinating special investigations or ad hoc reviews at short notice.


• Surveillance/monitoring to identify non-Compliance with the Policy and associated follow up including facilitating the breach/violation process


• Assist in evaluating the impact of new financial regulations on the firm's activities and initiate/suggest appropriate changes.


• Assist with Policy review and process improvement initiatives


• Associated administrative duties including filing, creating files, data entry


• Provide cover for other areas of Central Compliance as required e.g. Gifts and Entertainment/Outside Investments and Affiliations

Requirements

• Relevant experience in a similar financial organisation


• An investigative instinct and analytical mindset which has been demonstrated in previous roles.


• General understanding of a wide range of financial instruments


• Good understanding of the key regulatory principles and rules


• Initiative and judgement

If you are interested in finding out more about this role. Please contact Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com

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