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Desk Review Compliance Officer (AVP-VP)

My client are one of the world's leading financial institutions and due to various developments within the organisation are in search of an experienced Compliance professional to join their Desk Review Compliance team.

This team within the business specifically tests the supervisory, administrative and operational controls associated with policies/procedures and independently assesses and reports on areas of potential reputational or regulatory risks.

The Role

Performing a risk assessment for the business to prioritise areas for review

Leading reviews including:

  • Validating compliance with established policies and procedures
  • Validating compliance with applicable regulatory and exchange requirements
  • Developing recommendations for corrective action based on findings
  • Working with line of business compliance officers to agree action plans
  • Following-up on action plans to verify that corrective action has been effectively implemented
  • Meeting global internal standards for delivering high quality value added compliance risk reviews
  • Maintaining a broad knowledge of the firm's business and the regulatory framework in which it operates
  • Developing relationships with line of business Compliance Officers to keep abreast of current business developments and regulatory issues that impact the risk environment of the business

What we are looking for

  • Broker dealer or Investment banking regulatory Compliance experience
  • Expert knowledge of UK and European regulatory rules and regulations including FSA and MiFID
  • A good understanding of core business lines and products including equities, fixed income, commodities and corporate finance experience
  • The candidate will also have the ability to represent Compliance, enforcing a culture of compliance whilst considering the needs of the business. You will be motivated, energetic, organised, articulate, willing to take responsibility, possess good analytical skills and be comfortable with both written and verbal communication at all levels.