You’ll be joining the Global Markets (GM) Compliance team, which is responsible for supporting the Markets and Treasury businesses in complying with applicable rules, regulations, guidelines and industry best practices.
Key Responsibilities :
Supporting the GM Compliance Director as required in the implementation of strategic compliance and regulatory initiatives across GM and other business divisions where required
Working with the GM Compliance director and other Compliance stakeholders as required to ensure the framework of global, regional and product policies, procedures, training, risk assessment, testing and surveillance are sufficiently comprehensive, up to date, effective and consistent
Assisting where required in the implementation of regulatory change programmes within Compliance and the businesses
Supporting the GM Compliance Director and Global Head with remediation initiatives and the Bank’s strategies including co-
ordinating and recording remedial work resulting from the annual Risk Assessment process
Working with the GM Compliance Director to develop and implement Management Information Systems for the team for submission to various GM and Compliance Executive Committees including conducting regular briefings to committee attendees beforehand where required
Providing transactional support to front office New Transaction Approval (NTA) / New Product Approvals (NPA)) and guidance for middle office to ensure individual traders are compliant and adhering to guidelines
Reviewing conflict escalations (e.g. issues identified by Control Room, Deal Logging and Conflict Clearing teams)
Approval and delivery of training and culture carriers to the business
Providing advice on GM projects and audits
Skills & Qualifications :
Experience in a compliance advisory role at a major investment bank
Strong interpersonal skills with experience of managing senior key stakeholder relationships
Proven track record of delivery on major compliance and regulatory initiatives as well as the roll out of Compliance policies, procedures and enhancements to the first line of defence control environment
Strong persuasion and influencing skills to drive regulatory initiatives to a timely conclusion
Diversity, inclusion and mutual respect are essential elements of who we are. These values define the working environment we strive to create engaging, supportive and welcoming of different views.
We believe innovation stems from intellectual curiosity alongside the right mix of skills and talents. Therefore, we embrace a culture reflecting a variety of perspectives, insights and backgrounds.
The company promotes equality of opportunity and encourages the development of all employees to their full potential. We are open to agile working arrangements talk to us about flexibility and other initiatives we offer.
We are an equal opportunities employer who seeks to recruit and appoint the best available person for a job regardless of age, disability, gender reassignment, marriage or civil partnership, pregnancy or maternity, race (which includes colour, nationality and national or ethnic origins), religion or belief, sex or sexual orientation.
We aim to treat all employees in a fair and consistent manner, promote good working relationships to encourage high standards of conduct and performance within a work environment free from harassment, bullying and discrimination.
Please let us know if you require any adjustments to enable you to apply or attend an interview. If you would like to discuss your requirements, or have any concerns about the application process, please contact your recruiter.