Fixed Income Compliance Advisor Rates, Bonds and

2 weeks ago


London, United Kingdom eFinancialCareers Full time

Primary SME/advisor to the business and support functions on securities product suite with a focus on Fixed Income working closely with stakeholders in the first, second and third lines of defence and flagging any concerns or issues and maintaining an effectivepublic side compliance framework.
- Develop and deliver training materials in collaboration with the CPD Team.
- Investigate any identified potential or actual breach of relevant rules and regulations and assist in reporting to senior management and the regulatory authorities and in rectifying the situation.
- Assist in the design and implementation of an effective and suitable Compliance Risk Assessment program.
- Develop, update and provide Compliance input to relevant Compliance Policies, Departmental Procedures and internal Compliance Department processes to reflect FCA rules.
- Contribute as an expert to EMEA wide compliance projects when necessary.


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