COMPLIANCE MANAGER-Investment Banking

Job Title: COMPLIANCE MANAGER-Investment Banking

Reference: AJB JB IB 47

Location: London

Assignment Profile:
Our client is a highly regarded Investment Banking institution. They are seeking to employ a Compliance Manager to join the compliance team The main purpose of the role The successful candidate will form part of the Compliance department, reporting to the Senior Compliance Manager, with primary responsibility for the coordination of the global compliance monitoring programmes, for Global Financial Advisory, Merchant Banking and Banking, and dealing with day to day compliance matters.  This will involve regular communication with compliance officers in group offices and will involve overseas travel. In particular it will involve the preparation of monitoring reports for submission to key group committees, together with liaison with Internal Audit and Risk functions.

Main Duties/Responsibilities

Ensuring proper implementation of monitoring programmes around the group Coordination and conduct of monitoring compliance procedures, through the global monitoring programme. Preparation of monitoring reports, including discussion and agreement with management on remedial actions and tracking the progress of those remedial actions Managing the Risk Assurance Process around the group Responsibility for special compliance projects as required by the Senior Compliance Manager Assisting the Senior Compliance Manager in preparation of papers for relevant group committees and working groups Assisting with the updating and maintenance of compliance policies and procedures as necessary Day to day duties will include dealing with queries relating to general compliance issues, administering Senior Staff Loans, approving and monitoring PA Dealing in accordance with the Staff Dealing Rules, maintaining the PA Dealing register, signing off Money Laundering due diligence and conducting new starter inductions., conducting conflicts checks, assisting with the administration of the FSA registration database for joiners and leavers, ensuring all approved persons are appropriately registered with the FSA. Other ad hoc duties, as required Potential for management responsibilities, of two other people

Candidate Profile:
The successful candidate will a graduate, with a minimum of three years experience of working within a compliance department, preferably within an investment banking/ M&A environment; Excellent written skills; Excellent inter-personal skills to communicate clearly and effectively at all levels (both internally and externally); Ability to build effective relationships between individuals, teams, lines of business and geographical/cultural boundaries First class organisational skills, good attention to detail and accuracy are essential; Ability to work well under pressure and meet tight deadlines; Advanced knowledge of Microsoft Word, Excel, Access and PowerPoint; Willingness to work outside of normal business hours Overseas travel involved

Consultant: Jonathan Banjo

Consultant Email: jbanjo@ajbexecutivesearch.co.uk

Salary: Circa £60,000 Plus Benefits

If you feel you are a suitable candidate for this position please contact Jonathan Banjo.

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