Compliance Officer
4 weeks ago
A fantastic opportunity for a Compliance Analyst with a minimum of one years’ experience in Wholesale Banking, looking to expand their skills and knowledge and build their career in FS regulation. This role will give you a robust grounding in a generalist compliance role in a fast-paced Financial Services firm. In addition to learning on the job you will have access to talent development initiatives to enable you to build out your skill set. This is an exciting role for the right candidate and a great step in your compliance career
Our client offers Investment Banking, Private Equity and Institutional Sales services across Europe . In Europe their London and Frankfurt offices act as a strong, stable and trusted financial partner to clients in Investment Banking, Private Equity and Equity Sales and Research. Always looking to the future and considering how they can best serve their clients through product or location expansion.
Key tasks and responsibilities:
Compliance monitoring activities: assist with the Compliance Monitoring activities across the European offices including carrying out detailed reviews and ensuring the proper investigation and analysis of potential breaches are documented and escalated accordingly, including keeping an up-to-date action log. Assist in email review.
Compliance registers: assist with approvals, oversee the maintenance and accuracy of registers (including Complaints, Data Breaches, Watch Lists, PA Dealing, Training, G&E, Breaches, Financial Promotions, Approved Persons) and actively monitor and escalate trends within the department.
Management reports: assist with the preparatory work for Board Meetings.
Data Protection: assist with the data protection responsibilities at Baird.
Compliance procedures manuals: assist with updating and enhancing of manuals, policies and procedures. Promote the requirement for the associates to follow compliance policies and procedures.
Training : assist with compliance training.
New joiner process : new staff inductions and attestations.
Keeping up to date with regulatory and industry updates: assist in implementation projects as required.
Ancillary administrative tasks .
Required Experience:
~ Minimum of 1 to 2 years of experience in a Regulatory role within a financial services business.
Key Required Skills/Competencies:
High level of tenacity and a 'can do' attitude.
Ability to work to tight deadlines whilst ensuring the work undertaken remains to a high standard.
Shows the ability to work within a team and alone with one's own initiative.
Demonstrates the ability to identify and escalate areas of inefficiencies and risk to the wider compliance team.
Demonstrates the ability to adapt personal style and approach as appropriate to meet the needs of the business, without compromising standards.
Superior organisation, prioritisation, and exceptional administrative skills.
Structured in approach but flexible enough to work in an ever-changing
environment.
Personable, approachable with good energy.
Degree 2:1 or above.
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