Compliance Investigator, Contract
Salary £500 - £700 per day
Consultant Megan Craighead
Date posted 20 June 2022london banking-financial-services/compliance 2022-06-20 2022-07-20 banking London London 1 Cabot Square GB E14 4QJ GBP 500 700 700 DAY Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
A leading investment bank is looking for an experienced contractor to join the Compliance Investigations team for a well paid four month contract based in London. This is part of a global team that looks after control remediation, disciplinary proceedings, supervision failures, and regulatory interaction.
Together with other members of the Investigations team (UK and Europe), you will be responsible for carrying out and coordinating internal investigations (from inception to case closure), in particular data acquisition, data evaluation, document review, conducting interviews and reporting. You will also be responsible for the proactive identification and timely initiation and facilitation of appropriate remediation measures and read across if process, control or policy gaps or improvements are identified in the design or execution of the Bank’s processes and controls. You will form an important interface function for co-ordination with various internal functions and teams such as other teams within the Chief Compliance Officer function, General Counsel (including Regulatory Affairs), Human Resources, Chief Risk Officer, First Line Control teams and the Front Office as well as with regulators and other third parties.
- A university or comparable degree.
- Knowledge and experience of compliance and/or regulatory investigations – a minimum of 4/5 years experience in this field is preferred.
- Excellent analytical, management and presentation skills, solid interpersonal and communication skills, self-motivated, flexible and precise.
- A high degree of diligence in working with sensitive and confidential data, analytical and conceptual thinking, ability to work efficiently, pragmatically and independently.
- Excellent organizational skills, ability to prioritize effectively, and ability to work under pressure without compromising quality.
- Sound understanding of banking and financial services including regulatory framework and expectations
Salary: £110,000 - £130,000 per annum + Competitive bonus scheme and fund carryLocation: LondonDate posted: 21 June 2022This is a newly created Compliance Officer role that will become the SMF 16/17 and build out the compliance programme for a rapidly growing commodities investment firm. This will be four days a week in their London offices near Hyde Park.
Salary: £105,000 - £125,000 per annum + discretionary bonusLocation: LondonDate posted: 13 June 2022A leading global investment manager is looking for an experienced compliance professional to head up their investments advisory team. You will need strong MiFID and UCITS knowledge as well as management experience. Fixed income knowledge is also critical. This role is based in the City of London and will be in the office two days/week.
Salary: £105,000 - £125,000 per annum + discretionary bonusLocation: LondonDate posted: 08 June 2022A leading global investment manager is looking for an experienced compliance professional to head up their investments advisory team. You will need strong MiFID and UCITS knowledge as well as management experience. Fixed income knowledge is also critical. This role is based in the City of London and will be in the office two days/week.
Salary: £80,000 - £110,000 per annumLocation: LondonDate posted: 04 June 2022Based in London, a leading global investment bank are looking to hire experienced compliance professionals to join their surveillance function.
Salary: NegotiableLocation: LondonDate posted: 19 May 2022A leading, global Asset Manager is seeking a Risk Analytics Project Manager to help support and manage a portfolio of change initiatives across an experienced IT and Change Management group. You will support the Risk Analytics Programme Manager and manage the delivery of change initiatives which will enable the organisation to achieve its desired growth and operational transformation outcomes.