Compliance Complete | Recruitment | Job List

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.

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

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

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

Anti-Bribery and Corruption Officer

1328786952

Compliance & Regulation | 90k - 130k Yearly |

Top tier Investment Bank seeks an Anti-Bribery and Corruption (ABC) Officer to join their established Compliance function focussing on both UK and the wider EMEA jurisdictions. The role holder will be responsible for embedding the anti-corruption strategy throughout the region as well as liaising with Global teams to implement a coherent framework.

The day to day tasks will include:

Identifying and implementing anti-corruption and compliance controls across the region.

Monitoring and testing of business partners and other anti-corruption processes.

Assist in developing, executing and tracking progress to Annual Compliance Plan (e.g. policies and procedures, monitoring and testing, and training).

Create and deliver anti-corruption training targeted to different businesses including travel throughout EMEA for in-person training.

The successful candidate will have a legal or compliance background with a strong understanding of both the Foreign Corrupt Practices Act and UK Bribery Act (FCPA and UKBA). Previous experience of monitoring and testing as well as managing projects would be desirable.

For more information and to apply please contact Aaron Bolton on Aaron.bolton@blackswangroup.com or 02033016303.

Financial Crime Officer

1328786952

Investment Banking/Stockbroking | 45k - 65k Yearly |

An excellent opportunity has arisen at a Tier 1 bank within their EMEA AML team for someone who has relevant KYC and AML experience. The role will report to the Deputy MLRO and cover Global Transaction Banking, Corporate Banking, Investment Banking and Sales/Trading.

MAIN RESPONSIBILITIES

Ensure active participation with all Legal Risk Compliance and business related initiatives that could incorporate an Anti Money Laundering (AML) component

Manage AML escalation issues within the UK

Participate with any NPA approvals alongside Compliance Advisory where an AML components needs to be implemented

Advise divisions and Compliance Advisory on UK AML regulations by performing training and where appropriate, attending team meetings

Track AML issues identified either through regulatory and internal audit reviews

Primary contact for the investigation, co-ordination and SAR reporting aspects on all suspicious transactions

Ensure all AML policies and procedures have been reviewed and updated in accordance with approved timelines and regulatory requirements from a UK and divisional perspective

Where requested by either the business or Compliance Advisory, liaise with Risk Agencies to order Level II due diligence reports

Perform high risk client due diligence checks and onsite client visits with specific focus surrounding Money Service Businesses and Gambling/Gaming clients.

To ensure that the business conducted is in compliance with the UK AML regulations and the bank's AML policies

Perform Level One escalation for the Global Transactional Banking business as a result of NCA activities and other AML related tasks

To assist and advise the business areas when setting up new procedures and processes

Communicate with the business to ensure that staff understand their accountability for compliance with all AML policies and procedures

Advise the business on any UK regulatory changes

Conduct AML training where appropriate/when requested by the business

Develop ongoing and open communication with country management and teams and Compliance Advisory representatives

Ensure that any potentially suspicious transactions identified locally or via monitoring tools are immediately investigated, documented and if deemed suspicious, escalated to the Regional Co-ordinator for reporting to SOCA and the MLRO

Ensure all business partners are made aware of the AML record retention requirements (and updates) so that they comply with the appropriate laws and regulations

Ensure all policies relating to the business coverage model are up to date, meet the regulatory requirements and have been reviewed in line with the expiry date and new versions have been produced, approved and circulated for implementation to all relevant parties

The successful candidate will have:

Extensive Know Your Customer (KYC) and Client Identification Programme (CIP) knowledge

Experience of conducting Enhanced Due Diligence on High risk clients including PEPs.

Strong Financial Crime, with experience in MSB or GTS being advantageous

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

Desk Review

1328786952

Compliance & Regulation | 50k - 75k Yearly |

Our client is a global investment bank looking for individuals to join their monitoring and surveillance team. Reporting to the Head of Monitoring and Review, the jobholder will be required to carry out independent compliance monitoring activities across Fixed Income, Equities, Commodities and Investment Banking in order to obtain reasonable assurance that the business is operating in line with relevant laws, regulations, codes and our clients Group Standards

Responsibilities include;

Help to develop the monitoring roll-out across Global Markets

Project-structured, desk and thematic review work, with production of detailed reports

Thematic reviews focus on a particular regulatory theme looking for trends across wider business segments or indeed it could be across all of Global Markets

Ad-hoc projects

You must have a demonstrable background in providing compliance monitoring or advisory support on Commodities, Fixed Income or Equity products. Good knowledge of the FSA Handbook, futures exchange / clearing house rules and procedures. Proven analytical skills, together with the ability to support decisions with sound reasoning.Proven strong interpersonal skills with the ability to communicate effectively with both Compliance colleagues and the business.

Regulatory/ Compliance Assistant

1328786951

Compliance & Regulation | 30k - 35k Yearly |

Regulatory/ Compliance Assistant needed for City based Financial Services firm.

Role Details:

* Report in to the Head of Legal and Regulatory Compliance.

* General regulatory compliance support for the Group.

* On-boarding clients for the Group.

* Assisting with ad hoc legal and regulatory projects / tasks.

* Maintenance of regulatory compliance monitoring programme.

This will include:

* Assisting with regulatory compliance records, e.g. due diligence, completion of regulatory registrations, regulatory and exchange exam requirements and monitoring and assisting HR with Training and Competence requirements.

Skill set required:

* Compliance/ regulatory experience within financial services environment; minimum two years experience needed.

* Basic understanding of UK (essential) and US (advantageous) regulatory environment.

* Strong self-starter, pro-active and driven.

* Very strong organisational ability, ability to prioritise, methodical and self-disciplined approach to work.

* Demonstrated ability to work under pressure and use own initiative.

* Excellent communication skills; ability to explain complex issues to all audiences.

* Ability to drive matters forward, proactive, solutions and delivery orientated.

* Demonstrable ability to work autonomously and as a team player

Please contact Liz Slaughter to discuss further on liz.slaughter@blackswangroup.com.

Central Compliance Associate Director

1328786951

Compliance & Regulation | 70k - 75k Yearly |

Central Compliance, Associate Director needed to join London based Global Investment Bank.

Job Details:

This role will have oversight of the team providing compliance and regulatory support to both the UK Capital Markets and Wealth Management businesses.

Manage the function of handling client and counterparty communications within the firm in relation to MiFID and Terms of Business.

Advise on the regulatory requirements pertaining to the mandate of the Regulatory Services team (SUP/TRUP, CASS, TC).

Ensuring adequate policies, procedures and controls are in place to support the successful delivery of the team's mandate.

Provide support as required, in particular to the Head of Central Compliance Services, in relation to other regulatory / compliance matters pertaining to UK Capital Markets and Wealth Management businesses.

Approving and managing internal compliance processes in relation to PA Dealing, OBAs, Gifts & Entertainment and Private Investments.

FSA & SEC Approved persons regime.

Compliance regulatory reporting (non-financial/prudential).

Training & Competence.

Regulatory permissions.

Advising on the regulatory requirements pertaining to the mandate of the team as outlined above, as well as on other FSA Conduct of Business (COBS) and Supervision (SUP) matters such as client categorisation, transaction reporting, CASS, record retention and outsourcing.

Skill Set Required:

Strong central compliance background gained within a reputable financial services institution.

Knowledge of PA Dealing, registrations and other central compliance duties.

A broad knowledge of the UK regulatory framework including an excellent understanding of the FSA Conduct of Business, CASS and Supervision rules.

A legal background is preferable.

A working knowledge of Capital Markets operations and in particular transaction reporting and client money and assets requirements is preferable.

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

Deputy Head of Compliance

1328786950

Compliance & RegulationSecurities & Wholesale BankingInvestment Banking/Stockbroking | 75k - 95k Yearly |

Our Client is a global brokerage looking for a Deputy Head of Compliance. The role is ideal for someone looking to broaden their skillset from a larger bank/brokerage/exchange and develop their career in a busy institutional brokerage. The role will be part of a team of 3 that reports to the Head of legal and compliance

Duties will include:

Compliance: Resolve day-to-day compliance queries. Assist in the maintenance of the Compliance Manual and Rulebook. Provide compliance training.

Participant Services: Support on-boarding of new participants, including answering questions on documentation and resolving participant application queries, and the on-boarding relationship with the Central Counterparty.

Business development: Assist in conducting regulatory analysis of business development projects and liaison with regulators.

Regulatory policy: Assist in the review and analysis of new legislation and regulation and develop and implement appropriate solutions.

Liaison: with FSA and other regulators/government bodies as required.

Oversee and update as necessary the Compliance Monitoring Programme Oversee Compliance review of marketing materials, press releases and trading notices.

To be the Money Laundering Reporting Officer (MLRO) for the business, subject to FSA approval.

To assist in maintaining the Risk Register for the business and the ICAAP preparation process.

Skills and Experience required;

Significant experience in compliance functions at an FSA regulated trading platform or firm.

Understanding of the FSA regulatory regime and Handbook (in particular MAR, SYSC and SUP). Knowledge of the rules for MTFs or RIEs advantageous

Thorough understanding of general compliance concepts/frameworks, standards, techniques and tools.

Experience and knowledge of AML and KYC guidelines and processes.

Understanding of the trading environment.

Ability to work independently and to take the initiative.

Good interpersonal and customer service skills and an ability to create and develop relationships both internally and externally, with staff at all levels.

Ability to influence the regulatory culture of the firm.

Strong troubleshooting, problem-solving and customer service skills.

Ability to prioritise work and meet tight deadlines.

Good presentational, written and communication skills.

Ability to work well in a team environment.

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

Legal & Regulatory Officer

1328786950

Compliance & Regulation | 40k - 50k Yearly |

Legal & Regulatory Officer needed for City based Financial Services firm.

Role duties:

* Report in to the Head of Legal & Regulatory.

* General legal and regulatory support for any area of the Group business.

* Assisting with ad hoc legal and regulatory projects.

* Company Secretarial work.

This will include:

* Reviewing and recommending amendments (where appropriate) to a variety of documentation including basic supplier agreements to more complicated documentation such as Risk Based Margin Finance Agreements, ISDA's, etc.

* Maintaining corporate records, and filing annual returns for the business.

* Assisting with operational regulatory compliance records, e.g. due diligence, completion of regulatory registrations (across all appropriate jurisdictions), regulatory and exchange exam requirements and monitoring and maintenance of Training and Competence.

* Opening new accounts with brokers / executing systems.

* Financial Promotion reviews.

Skill set required:

* Minimum three years legal experience gained a within financial services environment.

* Good understanding of corporate structural documents & corporate secretarial responsible.

* Basic understanding of UK essential regulatory environment

* Very strong organisational ability, ability to prioritise, methodical and self-disciplined approach to work.

* Demonstrated ability to work under pressure and use own initiative.

* Excellent communication skills; ability to explain complex issues to all audiences.

* Ability to drive matters forward, proactive, solutions and delivery orientated.

* Demonstrable ability to work autonomously and as a team player

For further detail or to apply, please contact Liz Slaughter on liz.slaughter@blackswangroup.com.