Our client is an international investment banking branch based in the City of London. They pride themselves on creating a positive working environment, offering flexibility and a human approach. They are currently looking for a Compliance Reporting and Monitoring Officer to join their Global banking team.
Responsibilities
- Work with and take ownership for the monitoring and surveillance review, development and tolerance calibration, monitoring and surveillance capability in respect of the Firm’s securities business, to ensure outputs will deliver the required controls
- Operating Compliance Monitoring systems, (BTCA, Transwatch)
- Work with all products that the Firm has the capability to support and provide future coverage for new product initiatives when required – Fixed Income (commodities, rates, structured credit and FX), cash equity, equity derivatives, sales & trading
- Work with other departments to provide the Trade and Transaction reporting governance structure
- Maintain external relationship with 3rd party reporting SME’s as second-line oversight
- Provide regulatory assistance with calculation methodology
- Provide Compliance support to the Head of Compliance Operations.
Other example tasks (not limited to) are noted below:
- Compliance culture and values
- Policy and procedure development
- Assisting the Firm’s AML professionals as required
- Supporting overseas branches of the Firm
- Supporting Head Office initiatives
- Compliance training programme
- Providing management information
- Participate in business continuity processes
- Work with the Audit function when required
- Day to day compliance administration.
Key Competencies & Qualifications
- Ideally you would have considerable experience gained at recognised and established international investment banking/financial operations. The candidate will have experience working across a variety of different products and markets. In addition, the job holder will have sound awareness and understanding in a range of other compliance disciplines.
- A general awareness of the proper functioning of systems, processes and controls in an investment banking environment will be necessary.
- You will also be expected to possess the ability to contribute to the design, build and execution of the investment banking compliance infrastructure.
- Relevant industry experience is essential. No specific qualifications are assumed as the ability to complement the existing skills and experience of the compliance function are equally as important
- The individual will have the ability to work in a fast-moving environment, ensuring that deadlines are met when required.
- A can do, delivery based attitude
- The ability to work collegiately in a small customer-focused team
- Possess good regulatory and franchise-protection instincts
- Be resourceful in approaching complex and unknown scenarios
- Fluent English speaker
- Knowledge of Russian language is a bonus.
What is in it for me?
- Amazing team of international professionals, great management
- Flexible working opportunity can be discussed
- Exciting role where you can contribute to the processes
- Competitive salary and great corporate package, including bonus.
