Investment Banking Compliance EME

Michael Page

Location: Not Specified
Salary: From 500.00. uopto 615.00. Paid Daily.
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All applicants must be based in the UK and confirm that they are able to prove their eligibility to work in the UK.

Job Description

A multinational, universal investment bank.

Job Description
  • Developing close working relationships with Front Office and other relevant infrastructure colleagues including Legal, Operations, Credit Risk and Operational Risk
  • Reviewing and advising on transactions, governance and controls, marketing and other matters relating to ongoing business activity, including identifying potential issues and aligning solutions with Bank and Compliance strategy
  • Contributing to and influencing the client Group, Investment Bank and Investment Banking (private side) work on policies and procedures, regulatory development, management information and surveillance initiatives
  • Supporting and influencing business projects with Compliance implications
  • Promoting regional and global collaboration in Investment Banking Compliance coverage, including participating in business and infrastructure committees and liaising with Compliance and Legal colleagues in Europe and other regions
  • Identifying Compliance training priorities and developing and delivering Compliance training
  • Advising on regulatory aspects of the handling of client complaints and litigation, including identifying and escalating emerging trends and issues
The Successful Applicant
  • Act as a culture carrier and role model for others in the team, leading by example
  • Experience and qualifications commensurate with a VP role gained in the Legal or Compliance departments of an investment bank or law firm.
  • Good understanding of the UK/EU regulatory environment and relevant regulation including subject matter expertise in relation to: the Market Abuse Regulation and the FCA Handbook
  • Good product knowledge
  • Independent ability to check and challenge and escalate when appropriate
  • Exercises integrity and judgement to influence behaviours
  • Ability to spot problems and proactively drive change
  • Resilience to change, ability to deal with conflict, adaptability
  • Reliable, dependable, accountable Strong analytical skills - thorough with a good eye for detail
  • Able to identify potential conduct issues, to develop strategies to mitigate risk and to escalate as appropriate
What's on Offer
The opportunity to work within a multinational investment banking institution.

Andy Parrott

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