Compliance Officer - Multinational Bank
Salary £30,000 - £55,000 per annum + Standard
Consultant Joe Johnston
Date posted 07 March 201811 Slingsby Place, St Martin's Courtyard London, WC2E 9AB Robert Walters United Kingdom
A leading multinational banking organization is looking for a Generalsit Compliance Officer to cover Core/Central Compliance areas such as employee conflicts, PAD, Gifts and Entertainment and OBIS, amongst others. The role will cover all areas of the Bank including Cap Markets, Wealth/Asset Management and Treasury.
A leading multinational banking organization is looking for a Generalsit Compliance Officer to work in their London Compliance Team. The role will cover Core/Central Compliance areas such as employee conflicts, PAD, Gifts and Entertainment, OBIS and training, amongst others. The role will cover all areas of the Bank including Cap Markets, Wealth/Asset Management and Treasury.
Compliance Officer - Multinational Bank responsibilities
- Processing and providing advice on core employee conflicts management tasks – new joiner disclosures and requests for approval for, and reviews of, personal account dealing, gifts and entertainment, private investments and outside business interests;
- Assisting in creating and updating policies, procedures and processes and enabling Business units to comply with their regulatory requirements;
- Supporting the tracking and submission of UK/US regulatory filings and notifications on the FCA's Gabriel system and FINRA systems;
- Supporting FCA/PRA & SEC Approved Persons registrations, de-registrations, associated training and competence documentation and Connect/FINRA filings;
- Assisting with responding to FCA queries;
- Monitoring completion of training;
- Approving and rejecting front office book requests and maintaining a log;
Compliance Officer - Multinational Bank qualifications:
- Educated to final degree level, ideally in a subject that can support the role (e.g. finance, business, etc) - preferred
- Previous experience working with
- Employee conflicts management systems, processes and policies
- Regulatory reporting
- General regulation and compliance matters
- Experience in making judgements from applying policies or regulation to complex, non-routine scenarios with imperfect information.
- Highly proficient in MS Excel and demonstrated proficiency with MS Word, MS PowerPoint and Sharepoint
If you or anyone in your network would be interested in this role, please apply and get in touch with me on 0207 509 8489 / email@example.com