Complinet | Recruitment

Complinet | Recruitment | JobComplinet | Recruitment | JobCompliance Managerhttp://www.complinet.com/recruitmentjobs/job/details/id/849160000 - 80000 Annually Generous standard banking benefits | Location: City of London | Sector: Compliance & Regulation | Published: November 19th 2009 | Compliance Manager London Â£60,000 to Â£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: <ul> <li>Monitoring FSA publications and notices to ensure that the business is aware of UK regulatory requirements </li> <li>Ensuring there is local regulatory compliance following best practice </li> <li>Ensuring there is adequate documentation and procedures to support the compliance activity </li> <li>Attending relevant meetings, as required by the CCO, and advising on compliance matters relevant to UK regulations</li> <li>Reviewing and assisting in providing UK specific regulatory training material </li> <li>Co-ordinating compliance initiatives applicable to the group entities in EMEA</li> <li>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.</li> <li>Ensuring that the business is compliant with MiFID related requirements</li> <li>Assisting in the development and maintenance the Compliance Manual</li> <li>Taking necessary measures to prevent breaches of any laws and regulations and should this happen, taking the necessary action to rectify the situation</li> <li>Receiving and reviewing any customer complaints to ensure responses are in compliance with FSA rules</li> <li>Ensuring that the Inducements and Conflicts of Interest Policies are adhered to</li> <li>Preparing required compliance reports</li> <li>Assisting in the execution of the Compliance Monitoring Programme</li> <li>Assisting in the development of on-line training in compliance/regulatory matters </li> <li>Involvement in compliance related projects</li> </ul> EXPERIENCE REQUIRED: <ul> <li>Familiarity with Capital Markets, specifically Fixed Income and Derivatives markets is highly desirable</li> <li>Solid understanding of FSA rules </li> <li>A Degree and/or compliance qualification is an advantage</li> </ul> For further information please contact Duncan Jeffery Compl3478