Compliance Manager

Compliance Manager London £60,000 to £80,000

THE COMPANY:

Our client is a full service Investment Bank with a strong market reputation. They have over 600 employees in the European region and many more worldwide with Capital of over US$1.5Billion. They are looking for a new member for their compliance team to assist with the Capital Markets business.

THE RESPONSIBILITIES:

• Monitoring FSA publications and notices to ensure that the business is aware of UK regulatory requirements
• Ensuring there is local regulatory compliance following best practice
• Ensuring there is adequate documentation and procedures to support the compliance activity
• Attending relevant meetings, as required by the CCO, and advising on compliance matters relevant to UK regulations
• Reviewing and assisting in providing UK specific regulatory training material
• Co-ordinating compliance initiatives applicable to the group entities in EMEA
• Ensuring the Capital Markets business is aware of and has policies and procedures in place for the prevention of money laundering/combating the financing of terrorism.
• Ensuring that the business is compliant with MiFID related requirements
• Assisting in the development and maintenance the Compliance Manual
• Taking necessary measures to prevent breaches of any laws and regulations and should this happen, taking the necessary action to rectify the situation
• Receiving and reviewing any customer complaints to ensure responses are in compliance with FSA rules
• Ensuring that the Inducements and Conflicts of Interest Policies are adhered to
• Preparing required compliance reports
• Assisting in the execution of the Compliance Monitoring Programme
• Assisting in the development of on-line training in compliance/regulatory matters
• Involvement in compliance related projects

EXPERIENCE REQUIRED:

• Familiarity with Capital Markets, specifically Fixed Income and Derivatives markets is highly desirable
• Solid understanding of FSA rules
• A Degree and/or compliance qualification is an advantage

For further information please contact Duncan Jeffery

Compl3478

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