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Compliance Officer

2 months ago

London, UK, United Kingdom Investigo Full time

A global investment bank offering wealth management, investment management, and wholesale banking are now looking to grow further with the addition of a new Compliance Officer.

You role will include providing advisory support and second line challenge to the relevant Corporate Functions on: n Non-Financial Regulatory Reporting (MiFID, EMIR, SFTR, CFTC & SEC);

Wholesale areas covered:

  • Client Assets; and Management of Third Parties

To provide support and challenge the above areas you will be interpreting the regulation including scope and field analysis.

  • Supporting the effective implementation of Regulatory Change in partnership with key stakeholders n Participating in periodic compliance risk assessments, identifying gaps within the process, and implementing appropriate second line controls
  • Preparing MI reporting and ensure accurate & timely reporting to all stakeholders
  • Assisting in enhancing the compliance monitoring and testing framework

What do I need?

  • Previous experience covering Non-Financial Regulatory Reporting or Client Assets or Management of Third Parties within a Compliance function n Knowledge on DORA / PRA SS 22/21 or Cyber Security is of interest
  • Proven experience in assessing and managing risk

If you're considering a new role in your compliance career with at least 2 years experience across Non-Financial Regulatory Reporting, Client Assets or Management of Third Parties within a Compliance function, then please apply today for immediate consideration.