Compliance Analyst - Control Room
Consultant Kayte Short
Date posted 17 May 20192019-05-17 2019-07-16 financial-services Birmingham West Midlands GB GBP 30000 38000 38000 YEAR Robert Walters https://www.robertwalters.co.uk
An excellent opportunity is available with a most respected financial services business based in Birmingham City Centre who require a Compliance Analyst within their Control Room.
You will also be helping detect, escalate and manage potential conflicts of interest between different divisions of the Bank through administration of the intra-divisional conflict clearing process and the clearing of the Bank’s research product as well as providing advice to the business, Legal and Compliance on the above issues.
- Assisting the Control Room team in supporting the bank in Europe, the Middle East and Africa (EMEA) and Germany
- Being responsible for daily Control Room activities related to research pre-clearance, information barriers and conflict clearing
- Giving highly specialised advice and interpretation of legal, regulatory and compliance risk and surveillance requirements as they relate to information barriers, watch lists, restricted lists, wall crossings, conflicts of interest, trading, research clearance and related issues
- Maintaining the Watch and Restricted Lists
- Assisting with regulatory inquiries and interacting with regulators in relation to investigations
- Building and maintain relationships with relevant Compliance Advisory, Front Office Business, and other control function staff
The Compliance Analyst in the Control Room will have an excellent academic background and have experience with banking compliance and possesses, a good understanding of the regulatory environment or have a legal / paralegal background and be keen to establish a career in compliance. You will have the ability to network and build relationships across a wide range of internal departments and will possess excellent communication skills as well as a good eye for detail.
This is an excellent opportunity in The West Midlands. Please apply now or for further information contact Kayte Short at firstname.lastname@example.org