COMPLIANCE MANAGER/CONTROL ROOM

Job Title: COMPLIANCE MANAGER/CONTROL ROOM

Reference: AJB JB IB 49

Location: LONDON

Assignment Profile:
Our client is the commercial banking arm of a larger international banking group.

 

Our client provides integrated banking solutions to businesses with an annual turnover of more than £5 million or its currency equivalent and serves their clients via a global network of relationship, industry sector and product specialist managers, who provide tailored solutions to meet their needs. These include lending, risk management, trade, cash and liquidity management, and specialist asset and sales financing.



Main Purpose of the Role



The purpose of the role is to support the Head of Core Compliance in addressing the control requirements applicable to Regulatory Principal Risk and working with management to ensure that there is an efficient and effective regulatory control environment which addresses regulatory risks that arise as a result of our client’s business activities worldwide.

In particular, the role will be responsible for:

 

• Determining the risk associated with the handling of confidential and inside information.


• Establishment of Chinese walls to manage transactional conflicts and maintaining relevant records of decisions, for the UK and Global Corporate Bank.


• Responding to queries from the business seeking guidance on conflicts


• Liaising with the Investment Banking conflicts management team and control room


• Identifying when to engage with senior business heads on business selection and taking forward these discussions


• Promote awareness of the regulatory requirements and the risks relating to the above topics.


• Respond to PA dealing requests from the business in line with current policy


• Contribute to policy development for conflicts management in our client.


• Using a comprehensive understanding of Compliance Risk and regulatory insight the successful candidate will provide advice based on relevant supporting material and continually assess the effectiveness of business controls.

 

 



Key Accountabilities



Regulatory Compliance Leadership (10-15%)

Team building (10%)

Management of inside information and creation of Chinese walls (70%-80%)

Knowledge exchange (5-10%)

Candidate Profile:
Essential

• Passed at least the regulatory paper from the Securities Institute or hold another equivalent professional qualification.


• Practical working knowledge of relevant regulation and Codes.


• Anticipates, responds to and seeks to exceed the expectations of existing and potential customers.


• Builds and maintains good relationships with customers and colleagues by adopting the most appropriate approach to deal with people and situations.


• Logically breaks down problems and situations into their essential parts and draws reasonable conclusions based on their analysis.


• Actively considers the wide picture identifying patterns and connections between issues and situations


• High quality interpersonal and communication skills - to ensure that written reports and face to face commentaries about the findings are delivered clearly.


• Strong influencing skills that result in winning the co-operation of others and maintaining the appropriate priority for regulatory matters.

 

Desirable

 

• Detailed knowledge of risk processes and procedures especially where this has been gained through a role with an internal risk function or a regulator.


• Knowledge of banking products and services used by corporate customers

 





FULL JOB SPECIFICATION AVAILABLE ON REQUEST

Consultant: Jonathan Banjo

Consultant Email: jbanjo@ajbexecutivesearch.co.uk

Salary: Circa £50-60,000 Plus Benefits

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

Send this job to a friend Your Name(required) Your Email(valid email required) Friend's Name Friend's Email(valid email required)

Apply for this job > Name(required) Email(valid email required) Telephone Message CV