Compliance Complete | Recruitment | Job List

Senior Compliance Associate (Leading Insurance Company)

1328793154

Compliance & RegulationFund/Asset ManagementLife & PensionsRetail BankingRisk | 60k - 65k Annually |

Our client are one of the worlds leading Insurance companies and they now have a vacancy for a Senior Compliance Associate to work within the compliance team based in central London. This role will include a significant amount of Compliance Project work as well as advising on forthcoming regulations and implementing the appropriate solutions.

Responsibilities

To coordinate Group Compliance's contribution to strategic initiatives
To ensure coordination with stakeholders and other contributors to strategic initiatives
To deliver on a range of project and reporting work on compliance oversight
To coordinate the programme management work of Group Compliance's annual assurance plan
To ensure the scope and deliverables of strategic initiatives are clear
To ensure timely and quality outputs on a range of regulatory strategy, policy and oversight activities as well as project work
To ensure the appropriate planning and coordination of key pieces of work and any formal project deliverables
To make a contribution to the development, implementation and maintenance of the programme of global regulatory assurance
To participate in dialogues, as required, and other oversight mechanisms such that ongoing monitoring of the outcomes of assurance programmes worldwide is achieved
To analyse the compliance risks arising out of assurance work and other sources, developing and promoting mitigating strategies and actions, tracking their fulfilment

To ensure appropriate buy-in and sign off of all key initiatives or deliverables by key stakeholders and governance fora

Foster excellent and constructive relationships with key stakeholders across the Group and externally

Requirements

Technical knowledge appropriate for the role (combined risk (financial / operational), compliance and AML knowledge)
Excellent stakeholder management skills
Analytical capability, preferably with legal experience
Excellent communication skills

Suitable candidates should email their CV to danwise@jarvisblake.com or call 01322 611771 to find out more.

Regulatory Manager (Life, Pension & Investments)

1328793100

Fund/Asset ManagementLife & PensionsRetail Banking | 50k - 65k Annually |

Our client are a large consulting organisation who now have an opportunity at Manager level for a professional candidate who has a minimum of 5 years regulatory experience gained with Life, Pensions & Investments. Candidates will have worked within the Life & Pensions industry and any candidates with previous consulting experience will be at an advantage.

To be suitable you will have an in-depth knowledge of the FSA and its rules & regulations (both current & emerging) with an excellent technical knowledge. You will ideally be a Graduate with a good academic background.

Responsibilities include

Managing advisory projects, supervising project teams on client sites and day-to-day management of the client relationship
Technical input to a number of projects relating to regulatory and compliance services
Technical research, in responding to consultative papers from relevant regulatory bodies, providing input to the debate on development and application of policy
Identifying and documenting key systems and controls for demonstrating compliance with applicable FSA regulations
People development and mentoring, including management of client teams

Specific requirements for a successful candidate, likely to include:

A minimum 5 years working within the financial services industry, specifically reflecting an in-depth knowledge and practical experience of the application of UK regulatory requirements. This can include the FSA's rules on systems and controls, conduct of business, money laundering prevention etc
Experience in the formation of policies and procedures, writing and approving desk procedures, compliance monitoring and writing/editing of related manuals/programmes, managing regulatory and exchange relationships
Identifying and documenting key systems and controls for demonstrating compliance with applicable FSA regulations
Demonstrable record of building business relationships, and developing staff to their full potential.
Able to demonstrate excellent communication and interpersonal skills, building quality relationships with colleagues and clients

Candidates should email a copy of their CV to danwise@jarvisblake.com or call 01322 611771 to find out more.

Insurance Consultant (Assistant Manager) Big 4

1328793073

Life & PensionsRetail General InsuranceRetail BankingLloyds/Wholesale Insurance | 40k - 50k Annually |

Our client are a Big 4 consulting organisation who now have an opportunity at Assistant Manager level for a professional candidate who has a minimum of 4 years regulatory experience gained within Life & Pensions or General Insurance . Candidates will have worked within the Life & Pensions or Insurance industry and any candidates with previous consulting experience will be at an advantage.

Responsibilities include

Working on advisory projects, suporting project teams on client sites and day-to-day management of the client relationship
Technical input to a number of projects relating to regulatory and compliance services
Technical research, in responding to consultative papers from relevant regulatory bodies, providing input to the debate on development and application of policy
Identifying and documenting key systems and controls for demonstrating compliance with applicable FSA regulations
People development and mentoring, including management of client teams

Specific requirements for a successful candidate, likely to include:

A minimum 4 years working within the financial services industry, specifically reflecting an in-depth knowledge and practical experience of the application of UK regulatory requirements. This can include the FSA's rules on systems and controls, conduct of business, money laundering prevention etc
Experience in the formation of policies and procedures, writing and approving desk procedures, compliance monitoring and writing/editing of related manuals/programmes, managing regulatory and exchange relationships
Identifying and documenting key systems and controls for demonstrating compliance with applicable FSA regulations
Demonstrable record of building business relationships, and developing staff to their full potential.
Able to demonstrate excellent communication and interpersonal skills, building quality relationships with colleagues and clients

Candidates should email a copy of their CV to danwise@jarvisblake.com or call 01322 611771 to find out more.

Financial Promotions Officer (Fixed Term Contract)

1326882229

Insurance & RetailLife & PensionsRetail Banking | 38k - 40k Annually |

Our client are a large retail financial services organisation who require a Financial Promotions officer to work on a 10 month fixed term contract based in their West End office.

Responsibilities

Ensure that all customer-facing literature complies with the rules/regulations that apply to that particular item
Provide guidance to the business relating to financial promotions and other customer-facing literature
Provide Management Information to relevant parties in relation to the volume of Financial Promotions sign offs
Maintain a good working relationship with other areas of the business (in particular Marketing & Communications)
Manage the Financial Promotions process within agreed turnaround times.
Keep abreast of changes and developments in regulations, codes of practice, guidance and industry best practice. Ensure that these are communicated effectively to all who may be impacted
Review product brochures, related documents and other customer communications, on a periodic basis, to ensure that they continue to meet the relevant rules/regulations, codes of practice, guidance and industry best practice
Review and update the Financial Promotions manual on an ongoing basis, ensuring any relevant changes are communicated effectively to all who may be impacted
Identify ways and means of streamlining and increasing efficiency in the review and approval of financial promotions and customer communications.

Suitable candidates must have considerable financial promotions experience within financial services with a good knowledge of regulations. Suitable candidates should email their CV to danwise@jarvisblake.com or call 01322 611771 to find out more

Control Room Officer

1328789594

Compliance & Regulation | 40k - 65k Annually Competitive Pakage and excellent benefits on offer |

****CONTROL ROOM OFFICER***

PURPOSE OF ROLE

THE CONTROL ROOM IS RESPONSIBLE FOR ESTABLISHING THE CONTROL FRAMEWORK FOR IDENTIFYING AND MANAGING POTENTIAL CONFLICTS WITHIN THE BUSINESS, AND THE CONTROL OF ALL ASPECTS OF EMPLOYEE COMPLIANCE SUCH AS PERSONAL ACCOUNT DEALING, REGULATORY REGISTRATIONS, GIFTS AND ENTERTAINMENT.

THE FLOW AND RECORDING OF SENSITIVE INFORMATION, IN PARTICULAR, PRIVATE SIDE TRANSACTIONS AND CHINESE WALLS IN WATCH, INSIDER AND RESTRICTED LISTS AS WELL AS THE MAINTENANCE OF COMPLIANCE DATA AND REPORTING THEREOF TO GROUP OR OTHER MEMBERS OF COMPLIANCE⁄WEALTH AND REPORTING LARGE SHAREHOLDINGS.

THE CONTROL ROOM ALSO ACTS AS INTERMEDIARY BETWEEN WEALTH AND OTHER BARCLAYS BUSINESSES AND LIAISES WITH THE UK REGULATORS AS REQUIRED.

THE ROLE HOLDER WILL BE RESPONSIBLE FOR SUPPORTING THE HEAD OF CONTROL ROOM IN DEVELOPING AND IMPLEMENTING THE POLICIES AND PROCEDURES REQUIRED TO MANAGE AND OVERSEE THE ABOVE

CORE ACCOUNTABILITIES

THE ROLE HOLDER WILL BE RESPONSIBLE FOR THE DRAFTING AND/OR RENEWING POLICIES AND PROCEDURES IN RELATION TO CONTROL ROOM ACTIVITIES, INCLUDING PA DEALING, GIFTS AND ENTERTAINMENT, REGISTERED EMPLOYEES AND CHINESE WALLS. THEY WILL BE RESPONSIBLE FOR THE PROVISION OF TECHNICAL AND PRACTICAL ADVISE ON CONTROL ROOM ACTIVITIES GENERALLY. THE ROLE HOLDER WILL BE ACCOUNTABLE FOR FSA ENQUIRIES E.G STR's, INVESTIGATIONS AND OTHER AD HOC DUTIES/

ROLE REQUIREMENTS

PRACTICAL EXPERIENCE OF THE UK REGULATORY ENVIRONMENT, REGULATORY AFFAIRS AND THEIR RULES. COMPLIANCE EXPOSURE, IDEALLY WITHIN CONTROL ROOM AND/OR CONFLICT MANAGEMENT. EXPERIENCE IN LIAISON WITH THE REGULATOR AND THE APPROVED PERSONS REGIME AND BE FAMILIAR WITH DRAFTING AND REVIEWING POLICY AND PROCEDURE.

PERSONAL ATTRIBUTES

THE IDEAL CANDIDATE WILL HAVE STRING INTERPERSONAL SKILLS ENABLING EFFECTIVE COMMUNICATION, WRITTEN AND ORAL. ABILITY TO MULTITASK AND PRIORITISE EFFECTIVELY. CONFIDENT, GREGARIOUS WITH A POSITIVE OUTLOOK, RESILIENCE AND DETERMINATION.

ETD Advisory Compliance Officer

1328787397

Compliance & Regulation | 80k - 120k Yearly |

Leading Investment bank seeks a Compliance professional to join their Equity Derivatives function based on the trading floor. You will work as part of a two person team covering the Equity Derivatives business reporting to the Head of Equities Compliance.

The main responsibilities will include:

Responsibilities for compliance with the rules of the various derivative exchanges where the bank is a member.

Providing advice and assistance in resolving the compliance and regulatory issues arising from Derivative sales and trading activities.

Provide compliance assistance where required on any derivative structures traded by the business.

Provide cover to Convertible bonds desk, Delta 1 desk, listed derivative, exotics desk, single stock and index product desks

The job holder will need to make decisions as to which transactions are permitted and which are not. Some situations which are unclear or particularly complex will need to be referred to a senior member of the group but it is expected that the job holder will be able to take decisions at that level, and independently, on most occasions.

Ability to resolve trading issues to the satisfaction of both the business and in compliance with regulatory obligations.

The successful applicant will have:

Detailed knowledge of Futures & Option exchange rules and regulations as well as derivative products including warrants, OTCs, Exotics and Delta 1 products.

Proven experience covering single stock and index derivative products.

Knowledge of proposed MiFID rules in respect of Derivative products.

Emerging markets experience and a good understanding of event driven situations an advantage

Experience in dealing with Corporate Equity derivate structures will be an advantage

Knowledge of FSA rules and Market Abuse directive

If you are interested in finding out more about this role. Please contact Aaron Bolton on 02033016303 by phone or aaron.bolton@blackswangroup.com. Ben Hudson on 02033015821 by phone or ben.hudson@blackswangroup.com. Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com

Fixed Income Advisory

1328787390

Investment Banking/Stockbroking | 55k - 85k Yearly |

Our Client is a top tier global investment bank looking for a Fixed Income advisory specialist to join the existing team. The role is ideal for someone looking to broaden their skillset from a larger bank and develop their career in a busy fixed income dept. Coverage is across Europe, the Middle East and Africa with access all product categories including money markets, foreign exchange, fixed income, OTC derivatives, credit derivatives and emerging markets.

Credit Trading comprises Credit Derivatives, Investment Grade & High Yield Credit Trading, Structured Finance, Structured Capital & Leveraged Debt Capital Markets, Commercial Real Estate, Asset Finance & Leasing and Principal Finance businesses. This diverse business area provides an unparalleled breadth of pricing capability and liquidity.

Duties will include:

A thorough understanding of Fixed Income

Knowledge of European regulation and the ability to provide practical and immediate interpretation of regulations in the context of the firm's business activities.

Must be an excellent team player, prepared to take the initiative, assist colleagues, and able to liaise with management at the most senior levels. Must have a collaborative approach to achieving goals, actively share information, be able to deliver solutions and understand the requisite balance between self-sufficiency and escalating issues. Flexibility and willingness to undertake a variety of roles are also essential, including within other business areas supported by Equities Compliance.

Excellent communication skills (both written and oral) and an ability to make and present persuasive arguments to support the views/opinions given to European Fixed Income management and front office/support staff.

Pragmatism and the ability, when under pressure, to 'think on your feet', balancing commercial objectives with legal, regulatory and ethical considerations to arrive at sound judgements and decisions.

An ability to build and sustain strong relationship with Fixed Income personnel and colleagues in Legal & Compliance.

Self-motivation, confidence, an out-going and enthusiastic nature, tenacity, diplomacy and a good sense of humour. The successful candidate will have a fixed income background with proven experience in an international bank or exchange.

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

Compliance Analysts

1328787382

Compliance & Regulation | 45k - 65k Yearly |

Top tier Global Emerging Markets Asset Manager seeks Compliance Analysts to join London compliance team.

This is a fantastic opportunity to join a highly reputable financial services firm where a hands on and advisory focussed approach to compliance is practiced. Lots of liaison with the front office. Excellent opportunities for career progression and development.

Job details:

Provision of compliance advice to the business.

Assisting the Group Head of Compliance with the ongoing implementation of the compliance monitoring programme.

Dealing with day-to-day compliance issues arising from trading activities (e.g. investment restriction related).

Drafting compliance policies and procedures.

Assisting with the ongoing implementation of the regulatory training programme.

Liaising with non UK affiliates on compliance matters.

Assisting ensuring that the group is meeting its requirements under the FSA regulations and the regulatory regimes of other relevant regulators, including keeping abreast of relevant regulatory developments and advising on the impact of new business developments.

Assisting senior management to comply with corporate governance and SYSC requirements.

Skill set required:

My client seeks 2 very proactive compliance analysts who are used to practicing a very hands on approach to compliance, are confident liaising with the front office and building strong internal relationships.

Proven track record working in a broad compliance role for a reputable asset managemer, hedge fund, investment bank or regulatory consultancy.

Good product knowledge is desirable.

Able to carry out a varied compliance role ranging from advisory work through to monitoring.

Excellent interpersonal and communication skills - ability to deal with the front office on difficult issues on a day to day basis.

To apply or discuss in more detail, please contact Liz Slaughter on liz.slaughter@blackswangroup.com.

Control Room Manager

1328787382

Compliance & Regulation | 70k - 90k Yearly |

International Banking organisation requires a Control Room Manager to join their established and growing function based in London.

Responsibilities include;

Prime responsibility for maintaining the Investment Bank's Information Barriers and Global Grey and Restricted Lists.

The role requires having close contacts with all functions within the bank, holding or originating Sensitive Information as well being able to provide accurate and timely advice on items from information barrier crossings through to different types of trading restrictions.

Main areas of coverage include: Information Barriers, the use and impact of the Grey and Restricted Lists, setting sales, disclosures and independence issues as well as PA Dealing monitoring and clearance.

Mentoring of more junior team members.

Good Control room experience is essential to be successful in an application to this role.

For further information and a confidential discussion please contact; ben.hudson@blackswangroup.com on 02033015821, richard.aldridge@blackswangroup.com on 02033015822, aaron.bolton@blackswangroup.com on 02033016303, alex.hardy@blackswangroup.com on 02033016304.

Regulatory Policy Manager

1328787381

Compliance & Regulation | 50k - 65k Yearly |

Global Banking institution seeks an individual to join their expanding Compliance Division focussing on Policy and Regulatory Affairs.

The successful individual will be responsible for:

The regulatory affairs side of the department's responsibilities.

Playing a key role in the management of the banks C&C relationship with the UKFSA, taking responsibility for day to day management.

The ownership on a portfolio of topics (which could be e.g. conduct of business related or prudential) and be a subject matter expert in these areas, taking a lead on upstream and downstream on these topics and developing training.

The ideal candidate will have:

A good and general understanding of regulatory risk, including the UKFSA's handbook and supervisory approach, risk governance and a good understanding of the changing regulatory landscape.

Strong project management skills and proven drafting skills and the nous to pull together, often at short notice, briefings for senior management, and responses to regulatory papers.

A general familiarity with major risk types, credit, market, liquidity and operational risk.

To find out more or apply for the position please contact Aaron Bolton on 02033016303 or Aaron.Bolton@blackswangroup.com

Compliance Director

1328787377

Compliance & Regulation | 55k - 65k Yearly |

Compliance Director needed to join global Investment Bank.

Reporting in to the Head of Compliance, this role will be a generalist position where you will handle to a broad range of compliance duties on a day to day basis, such as:

provision of compliance advice to the business

compliance monitoring and reviews

general control room duties

You will have a strong generalist compliance background from a reputable investment bank, investment manager or regualtory consultancy. You will be able to work as part of a small team where you will be expected to work effectively on your own some of the time.

Please contact Liz Slaughter on liz.slaughter@blackswangroup.com to apply or discuss in more detail.

Control Room Associate

1328787371

Compliance & Regulation | N/A + |

Our client is a global investment bank looking for a control room analyst to in the London office.

Responsibilities include;

Prime responsibility for maintaining the Investment Bank's Information Barriers and Global Grey and Restricted Lists.

The role requires having close contacts with all functions within the bank, holding or originating Sensitive Information as well being able to provide accurate and timely advice on items from information barrier crossings through to different types of trading restrictions.

Main areas of coverage include: Information Barriers, the use and impact of the Grey and Restricted Lists, setting sales and trading restrictions, disclosures and independence issues.

Manage conflicts of interest

Good Control room experience is essential to be successful in this role.

If you are interested in finding out more about this role. Please contact Aaron Bolton on 0203016303 by phone or aaron.bolton@blackswangroup.com. Alternatively contact Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com

Capital Markets Advisory - Senior Manager

1328787369

Compliance & Regulation | 90k - 120k Yearly |

Our client is a global bank covering all asset classes. They are looking to recruit a Senior Capital Markets Advisory Compliance Officer. This is an excellent opportunity for an accomplished compliance professional to provide regulatory support for the Firm's developing business requirements within Corporate Markets. You will be expected to support the group and ensure that compliance policies and processes are in place and meet the operational needs of the department.

The role will require strategic input into several key areas and work closely with new hires within the business at a very senior level. Key tasks will include;

Assess and agree key business risks and review activity to be undertaken by the monitoring team with the business.

In conjunction with the business, assess the impact of regulatory change upon relevant areas and provide relevant training.

Through maintenance of close business relationships and attendance at team meetings, ensure that new business or services are developed in a compliant fashion.

Within areas of responsibility, ensure that effective monitoring and control systems are in place in order that all Compliance related issues are readily identified and remedial actions implemented in order to minimise risk.

Provide proactive advice, guidance, direction and interpretation as regards to Compliance issues and develop Compliance relationships across the designated areas of the business.

Attendance at relevant meetings in order to facilitate the compliant introduction of new products and services.

Provide support to Senior Management in the interpretation of regulatory changes and their likely impact on processes, procedures, controls and products

Ensure that appropriate mechanisms are in place to manage actual or potential conflicts of interest as applicable to the appropriate business area, draft and supervise successful implementation of any new relevant procedures to be delivered to those areas.

Assist in the review of other business areas in order to enhance cross training and thereby reduce key person dependencies.

To conduct training to the relevant business areas as required on policies and procedures to include any changes to these.

Promote the cultural, behavioural and organisational changes necessary with the business to achieve the continuous development of a compliant and customer orientated business.

This is challenging role that will involve a mix of regulation and management in a demanding environment. A detailed working knowledge of the FSA rules and regulations especially as applicable to the banking industry. You will be expected to provide direction and guidance to team members as well as take decisions regarding issues arising and ensuring proactive upward reporting of relevant issues.

The preferred candidate will have previous DCM, Securitisation and Derivatives advisory experience from a leading investment bank.

If you are interested in finding out more about this role. Please contact Ben Hudson on 02033015821 by phone or ben.hudson@blackswangroup.com. Alternatively contact Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com

Compliance Officer

1328787369

Investment Banking/StockbrokingCommodities/Futures | 50k - 75k Yearly |

Our client is a European Bank who is seeking a compliance officer to join a small team and cover a wide remit of work across advisory and monitorng. Candidates must have clearing, DMA and exchange experience.

Primary activities - Advisory

Providing the business line with professional and efficient advice on compliance-related issues, as required by the business line and/or the Global Compliance Officer with particular emphasis on:

DMA activities

Exchange and Clearing House rules

Operational reporting and disclosures, such as CFTC and transaction reporting.

Understanding, interpreting and communicating on the regulatory implications of new products, new activities, new rules and new clients.

Provide regular reporting necessary to the business line and to the Compliance function.

Involvement in all internal and external discussions and communications with a compliance or regulatory aspect.

Development and delivery of appropriate compliance training including induction for new joiners, and subsequent presentations and material for ongoing compliance awareness.

Primary activities - Monitoring & Control

Defining in-house rules, systems, procedures and monitoring to ensure compliance with local regulator's and exchange's rules.

Performing periodic monitoring of trading and other business line activities, documenting and analysing the results, and following up any actual or potential problems or rule breaches identified.

Ensuring that Compliance Policies are understood and implemented within Compliance and the business line, including maintaining local compliance manual content.

Performance of the Compliance Risk Self Assessment and implementation of the consequent Action Plan for the business.

Ensuring that there are procedures in place to obtain adequate client documentation to meet KYC and AML requirements and that client files are maintained regularly to an acceptable standard.

Review of and authorisation of client files and client acceptance forms as part of the client acceptance process

Ensuring that rules regarding personal account dealing, confidential information, conflicts of interest and other rules conform to regulatory requirements and are monitored to ensure that they are followed, including the investigation of any whistle-blowing or other suspicious activity reports.

Involvement with and reporting of any business line incidents that have a regulatory aspect or implication.

Primary activities - External Relationships

Ensuring that procedures are in place to deal with customer complaints and monitor such procedures for satisfactory outcomes.

Reviewing local regulatory and exchange rules proposals for impact on the business line and, in consultation with the Global Compliance Officer, respond to further the interests of the business line.

Notifying regulators and exchanges of all events required by their rules and ensure that all financial and other returns are submitted on time and to oversee the preparation, submission and recording of exchange and regulatory registrations.

Co-ordination of and involvement in all regulatory communications with exchanges and regulatory bodies, including the planning and management of inspection visits and audits.

Making regular contacts with the local regulators and exchanges to ensure that good working relationships are fostered .

Self-motivation, confidence, an out-going and enthusiastic nature, tenacity, diplomacy and a good sense of humour. The successful candidate will have clearing experience.

Compliance Manager - Wealth Management

1328787366

Compliance & Regulation | 70k - 80k Yearly |

Wealth Management Compliance Manager needed to join Wealth Management division of Global Financial Services firm.

Job Details:

An advisory focussed compliance opportunity supporting both the London wealth management and asset management divisions.

The focus of the role is broad, including investment management, private banking, credit, custody, corporate executive employee services, trust and tax advisory services to high and ultra high net worth private, corporate and trust clients.

Devising and updating appropriate compliance policies, delivering training and collating and reporting key management information to quarterly boards and committees.

Provide advice in response to client take on, transactional and project related queries.

Identification and analysis of regulatory developments impacting the wealth management area with particular emphasis on regulatory developments that have a focus upon industry best practice distribution techniques.

Compliance training specialist within the Compliance Advisory team.

Have regular meetings with key staff including the Business Manager and Assistant Managers.

Assist in the analysis of MiFID II, RDR, Retail Conduct Risk Outlook and

Implementation of effective compliance measures to reflect new developments as required.

Assist in financial promotion reviews.

Review and draft appropriate responses for new business /product initiatives.

Assist in identifying and articulating enhancements to the WM Compliance monitoring framework based upon new regulatory developments and other internal initiatives.

Skill Set Required:

Strong background working in compliance in a broad role with a focus on advisory.

Compliance backgrounds from Private, Retail and Wealth Management; Big 4/ Regulatory Consultancy will be considered.

Strong FSA regulatory knowledge.

Excellent communication skills.

Strong relationship building skills.

Able to carry out a broad role with a variety of tasks to attend to.

Strong team player.

To apply, or to discuss in more detail please contact Liz Slaughter on liz.slaughter@blackswangroup.com

Head of Central Compliance

1328787363

Compliance & Regulation | 100k - 140k Yearly |

Leading Investment Bank seeks a Head of Central Compliance to join their London based team in a growing Compliance function.

Duties include:

Ensure that at country level the Compliance procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary;

Ensure all reporting processes and requirements at country level are fulfilled;

Liaison with internal and external counsel and regulatory bodies;

Liaison with global and other pole Compliance functions as appropriate;

Prepare and coordinate ad hoc reports on Compliance developments as required;

Deputise for COO in their absence;

Develop strong cross-pole working relationship with compliance colleagues;

Oversee the day to day progress of internal investigations and regulatory inquiries.

Person Specification

Strong practical relationship with the FSA;

Excellent interpersonal, communication and management skills;

Strong knowledge of UK and EU regulatory environment;

Investment and/ or Corporate Banking background;

To find out more and apply for this role please contact Aaron Bolton on aaron.bolton@blackswangroup.com or 02033016303.

Fixed Income Advisory

1328787355

Investment Banking/Stockbroking | 65k - 90k Yearly |

Our Client is a top tier global investment bank looking for a Fixed Income advisory specialist to join the existing team at VP level. The role is ideal for someone looking to broaden their skillset from a larger bank and develop their career in a busy fixed income dept.

Duties will include:

Must be an excellent team player, prepared to take the initiative, assist colleagues, and able to liaise with management at the most senior levels. Must have a collaborative approach to achieving goals, actively share information, be able to deliver solutions and understand the requisite balance between self-sufficiency and escalating issues. Flexibility and willingness to undertake a variety of roles are also essential, including within other business areas supported by Equities Compliance.

A thorough understanding of Fixed Income, specifically; rates, Corporate Banking, International branches, Markets & Financing, Counterparty Exposure Management and Group Treasury teams, where relevant.

Knowledge of European regulation and the ability to provide practical and immediate interpretation of regulations in the context of the firm's business activities.

Excellent communication skills (both written and oral) and an ability to make and present persuasive arguments to support the views/opinions given to European Fixed Income management and front office/support staff.

Ensuring that Market Abuse and related Chinese Wall issues are identified and appropriately managed.

Pragmatism and the ability, when under pressure, to 'think on your feet', balancing commercial objectives with legal, regulatory and ethical considerations to arrive at sound judgments and decisions.

An ability to build and sustain strong relationship with Fixed Income personnel and colleagues in Legal & Compliance.

If you are interested in finding out more about this role. Please contact Alex Hardy on 0203 301 6304 by phone or alex.hardy@blackswangroup.com

Funds Compliance Manager

1328787329

Compliance & Regulation | 65k - 75k Yearly |

Funds Compliance Manager needed to join London based specialist Investment Manager.

Role duties:

My client is seeking a Compliance Manager with strong investment funds compliance experience (in-house and third party funds), in particular relevant compliance monitoring experience.

The successful candidate will be expected to work on their own initiative, to take responsibility for fund related activities and be able to manage front office and third party relationships.

The Funds Compliance Manager is a critical role in the compliance team. The parameters of the role are not rigidly defined as the incumbent will be expected to add value in other areas of the team's work and to participate in business-wide projects and initiatives. However, the primary responsibilities will include:

Advising fund managers on eligibility of assets for OEIC and NURS funds (UK, Dublin and Luxembourg domiciled).

Primary advisor for Charles River coding team.

Advising portfolio compliance team on alerts and warnings.

Liaison with front office staff and third party service providers (Trustees, Depositories & Custodians) - reporting, advice and technical queries relating to funds.

Funds compliance monitoring programme and preparation of relevant board reports.

Co-ordinating due diligence visits from trustees and to third party administrators and custodians (in London & Dublin).

Approval of fund marketing literature (financial promotions).

Ad hoc work to support compliance-related and business-focused projects and initiatives.

General compliance team activities - reporting, team meetings, training etc.

Skill set required:

Strong background working in a generalist funds compliance role.

Excellent knowledge of relevant rules and regulations (FSA, UCITS, Bank of Ireland), policies and procedures.

Very strong interpersonal skills, relationship building skills.

Very strong team player.

Able to use own initiative.

Strong motivation to get involved in a wide variety of duties.

To discuss in more detail or to apply, please contact Liz Slaughter on liz.slaughter@blackswangroup.com

PA dealing officer

1328786954

Investment Banking/Stockbroking | 35k - 60k Yearly |

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

Life Compliance Officer

1328786952

Insurance & RetailLife & PensionsRetail General Insurance | 35k - 45k Yearly |

An excellent opportunity has arisen to work as a compliance officer in a closed life assurance office based in Bournemouth. The in house compliance team ultimately reports into the markets compliance team based in london.

MAIN RESPONSIBILITIES

The specific role is intended to provide technical regulatory support to the business as well as undertaking monitoring oversight activities.

The role will have substantial interaction with the business and other control functions.

The position reports to the Head of Compliance

As a member of the Compliance team, the successful candidate will be expected to assist with the following:

Establish and maintain a means for the Compliance function to test and evidence ongoing compliance with the FSA rules and requirements.

Establish and undertake, on an ongoing basis, a means to evidence that outsourcers are complying with FSA's rules and requirements.

Provide Compliance advisory services to the business as required on life, pensions and endowment matters.

Provide technical advice and analysis on the application of relevant rules and policies on the activities of a closed life office general business activities based on an understanding of business strategies and product portfolios.

Where required preparation and delivery of training.

Drafting and implementation of new and/or updated policies and procedures relating to the activities.

Respond to ad hoc regulatory enquiries.

Carry out ad hoc business projects, assignments and activities.

Support Internal and External Audit reviews of business.

Support FSA reviews.

Experience Required

Ideally, an experienced compliance professional who has detailed knowledge of the FSA Rule Books as they apply to a Life Assurance Company with the experience of also undertaking monitoring activities.

Candidates will be expected to demonstrate their technical expertise in relation to the following FSA rule books - COBS, ICOBS, DISP, SYSC as well as the core Principles for Business (incorporating TCF).

For further information and a confidential discussion please contact; richard.aldridge@blackswangroup.com on 02033015822,