My client, a leading Investment Bank, is currently recruiting for a Compliance Officer to join their Risk Assessment and Review team.
The role will involve assisting in establishing and maintaining a risk-based cyclical monitoring and topical/thematic/desk review programme, covering monitoring of relevant regulatory and exchange requirements.
- Promptly investigate and clearly communicate issues arising from the cyclical monitoring and review activities, involving advisory compliance officers as required, follow issues through to full resolution with the business lines
- Maintain and monitor a database of remedial actions/recommendations arising from trade surveillance, to ensure timely and satisfactory resolution of issues identified
- Preparation of written reports for submission to the Risk Assessment & Review Unit Senior Compliance Officer and relevant Desk Head(s), as required
- Liaison with advisory compliance officers and/or the Control Room on monitoring related issues
- Provide support on the implementation of the Pan-European trade surveillance monitoring system
- Assisting in regulatory and internal investigations as assigned by the Risk Assessment & Review Unit Senior Compliance Officer or the Head of the Financial Crime Unit
- Proactive and timely escalation of issues to the Risk Assessment & Review Unit Senior Compliance Officer, ensuring regular and frequent communication on such issues
- Maintaining a detailed working knowledge of the FSA rules and regulations, and a broad awareness of AMF, ACP and other regulatory and exchange rules and regulations as required
- Involvement in delivery of items in the annual Compliance Plan, which are relevant to the coverage of the team, in a timely manner
- Maintaining awareness of key EU/FSA regulatory updates and analysing their impact upon the electronic trade surveillance monitoring programme
- Participation in departmental and central compliance team meetings, as required
- Attendance at relevant industry and trade association seminars
- Post holder must actively encourage communication and interaction with compliance colleagues in France - occasional travel to Paris may be required
- Up to 7 years Compliance Monitoring experience relating to capital markets and investment banking activities
- Fluent English, French an advantage, but not prerequisite
- In-depth working knowledge of FSA rules
- Knowledge of EU directives relating to financial services, as well as broad knowledge of AMF and ACP rules
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