Advisory Compliance Officer (GLOBAL BROKER)
- Recruiter
- Hamlyn Williams
- Location
- Central London, London
- Salary
- £80,000 per annum
- Posted
- 20 Mar 2019
- Closes
- 23 Mar 2019
- Ref
- 1103598592
- Job role
- Accountant
- Sector
- Accounting - Public practice
Hamlyn Williams is currently working with Global Brokerage client, in London. We're looking for a Compliance Advisory Officer who will work as a member of the Advisory Compliance team, and report directly to the Head of Advisory Compliance. In this role, you'll have particular responsibility for the London divisions of the business, including the conduct of business, training, and advisory.
Responsibilities:
Requirements:
Responsibilities:
- Deliver regulatory compliance advice to stakeholders within the business and compliance-related strategic support within the department, ideally with a primary focus on fixed income, currency, commodities and some equities knowledge
- Assist with the implementation of MiFID II and various regulatory change events;
- Assist in the identification of upstream regulatory risk, and working to respond to or mitigate any such identified risks;
- Working with the functional leads and their teams to design and produce reporting and MI appropriate for both operational teams and governance fora;
- Review the output from the Monitoring Programme and ensure that any remedial action necessary is carried out;
- Assist in the delivery of the Compliance training programme for the various business units and conduct ad hoc training as and when required.
Requirements:
- A track record of analyzing advice received from external parties and ensuring that the advice is put in the context of the current business environment, and unambiguous ownership agreed, assigned and tracked;
- A track record of managing outcomes that are critical to the success of compliance activity, through demonstrating the value of that compliance activity to stakeholders outside the Compliance Department;
- Understanding of Wholesale Financial Markets including inter-dealer broking;
- Understanding of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance.
- Solid experience within Compliance / Regulatory law across diverse fields of knowledge;
- Broad-based compliance experience, covering front office and awareness of back office, settlement and clearing systems.
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