AD Central Compliance

AD Central Compliance

This is an exciting role within a bank in the City looking for a strong Central Compliance professional to join their busy team within the Capital Markets and Wealth area of the business.

The Compliance team is made up of between 20 and 30 individuals in London and this role will sit within a team of 3 managing the two more junior members of staff. This team provides regulatory services to the business including:

• Approving and managing internal compliance processes in relation to PA Dealing, Gifts & Entertainment and Private Investments;
• FSA & SEC Approved persons regime;
• Compliance regulatory reporting (non-financial/prudential);
• Training & Competence; and
• Regulatory permissions
• Handling compliance queries on terms of business and other MiFID related aspects
• 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.
• Ensure that adequate policies, procedures and controls are in place to support the successful delivery of the team’s mandate, including developing the team’s capability to work with limited supervision and ensure that the team has sufficient succession planning in place.
  
  
   

Requirements:

 

• The successful candidate should have a good understanding of the UK regulatory framework and an understanding of the FSA Conduct of Business, CASS and Supervisory rules.
• The successful individual must be able to work in a busy environment and feel confident in dealing with the business on Compliance matters.
• Ideally the successful individual will have some people management experience but this is not essential

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If you would like to apply for this role or find out more, please apply online or contact Katie McCluney at Robert Walters on katie.mccluney@robertwalters.com quoting the reference 1573430