Compliance Monitoring Officer-Private Banking

Job Title: Compliance Monitoring Officer-Private Banking

Reference: AJB JB IB 34

Location: LONDON

Assignment Profile:
Our client is a highly regarded Private Banking and Wealth Management institution they are seeking an experience compliance monitoring manager to join the compliance department  The main purpose of the role will include the following; To execute a principles based compliance monitoring programme; Conduct reviews; Draft reports; Compile working papers; Engage with the business to ensure that change is implemented where appropriate; Prepare management information and reporting. Work with the Compliance Team to ensure the principle based compliance monitoring programme remains reflective of FSA and industry wide themes. Work with the business units to develop a good understand of their strategy, services and products. Work to engender a culture of compliance within the bank and assist with other functions within the Compliance Team. Monitoring of external websites (FSA/Complinet) to note regulatory and industry developments. Receipt and review of division Management Information to gain an understanding of developments occurring within each division.

Candidate Profile:
Minimum of 3/5 years experience within the Financial Services Industry Will ideally have either audit, compliance or regulatory experience Knowledge of relevant regulations including FSA and Exchange rules. Understanding of general Private and Investment Banking terms, and Capital Market products. Analytical skills in relation to following and understanding deal structures, processes or business system and their compliance with relevant regulations. Strong written skills; drafting reports, constructing working papers.  Strong written skills are essential in communicating to a wide audience, clear, reasoned process needs to be of exhibited. Ability to work with a high degree of autonomy, initiative.  Successful candidate needs to have an inquiring mind and want to develop and learn for themselves.  Need to see evidence of original thinking, coming to their own conclusions, having a view, being excited or particularly interested in an area of regulation or financial services. Ability to adapt to reviews of different desks or themes, exhibiting flexibility and confidence. Strong interpersonal skills used when communicating with the business and other members of the Compliance team.  Good time management skills. Ensuring agreed deadlines are met and priorities are managed. Multi-tasking and ability to manage a number of reviews or priorities simultaneously.

Consultant: Jonathan Banjo

Consultant Email: jbanjo@ajbexecutivesearch.co.uk

Salary: Circa £55-65,000 Plus Benefits

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