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Associate Director, Ficc Compliance Advisory
5 months ago
PRIMARY RESPONSIBILITIES:
Associate Director within Capital Markets Compliance team for Europe, with responsibility for supporting the Head of FICC Compliance Advisory Europe, in relation to all Global Markets front office advisory activities for FIC.
Responsibilities include:
- maintaining a detailed knowledge of applicable banking regulations, best practices and relevant internal policies and procedures;
- conduct annual risk assessment
- identify control/governance gaps and raise issues, working with the 1LOD to identify appropriate owners, deadlines and required evidence of remediation;
- designing and maintaining policies and procedures to address identified regulatory risks;
- devising and delivering Compliance training to businesses which comprise primary areas of responsibility;
- collaborating with colleagues in the Trade Surveillance and Desk Monitoring team to identify ways to enhance our programs and incorporate any relevant issues arising from the interaction with the businesses;
- review, advise and draft appropriate text from a compliance perspective for New Business Committee proposals emanating from businesses which comprise primary areas of responsibility;
- assisting with desk monitoring activities to determine adherence with FCA conduct of business rules;
- advise and assist Compliance colleagues on the UK regulatory position of matters relating to the transitioning of businesses which comprise primary areas of responsibility;
- issue guidance as and when required to the front office regarding current or new regulatory requirements issued by the FCA and other relevant bodies;
- to liaise where necessary with the relevant regulatory bodies;
- conducting and reporting on compliance investigations of businesses captured by primary areas of responsibility as required;
- to be an integral part of the compliance team, assisting other team members and undertaking ad-hoc assignments as required;
- assisting with preparing the papers for the Reputation and Compliance Committee and other management fora; and
- promoting observance of high standards of business conduct and ethical standards.
EDUCATION AND/OR EXPERIENCE:
Required
- Degree educated
- Minimum 3years experience in related compliance role
Preferred
- good understanding of the UK and other regulatory environments;
- good understanding of the FCA Handbook in particular, COBS, MAR, SUP and SYSC;
- good understanding of issues pertaining to public /private information flows
- good understanding of Treating Customers Fairly Regime;
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