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Job Title
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Compliance Manager
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Our Reference
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J6488
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Employment Term
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Permanent
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Location
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Salary
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Negotiable
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Job Category
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Banking and Finance
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Core Purpose of the Role:
To assist the Senior Manager in all tasks in the compliance advisory function, including day to day tasks and project tasks. To maintain an effective compliance culture within the supported business units.
Duties and responsibilities / Accountabilities
• Provide Compliance coverage to Capital Markets & Advisory, Structured securitisation, Conduit and Structured Credit Investments
• Acting as the primary contact for internal client inquiries, requests and ad hoc projects relating to covered business areas
• Identifying potential areas of compliance risk and developing action plans for resolution
• Ensuring employees are in compliance with the rules and regulations, that Bank policies and procedures are being followed
• Directing / Escalating compliance issues to appropriate resources for investigation
• Providing daily regulatory advice and guidance regarding regulations and internal polices
• Reviewing proposed, new and revised rules and regulations
• Drafting and implementing new policies and procedures and update existing policies and procedures
• Providing advice on new business and product proposals (CTR) to identify and address compliance and regulatory risk
• Collaborate with other key Compliance functions
• Support the Control Room in managing wall crossings and conflicts
• Conducting reviews of and preparing responses to regulatory requests and inquiries
• Conduct training on relevant regulatory matters for business units
• Collaborate with other departments (e.g., Risk, Audit, Legal, etc.) to direct issues for investigation and resolution.
• Assisting with annual regulatory risk assessment exercise Responding to regulatory inquiries and investigations
• Ensure compliance with the Bank’s procedures and guidelines together with all relevant regulatory and statutory requirements where appropriate implementing actions to protect the Bank’s business at all times.
Key Capabilities/ Knowledge:
• Providing excellent internal customer service
• Managing the internal customer relationship
• Influencing in an appropriate manner
• Planning and control of workload
• Bringing innovation to problem solving
• Attention to detail even on tedious tasks
• Knowledge of the FSA Rules
• Understanding of the Information Barrier structures in a large multi service institution
• Understanding of legal regime within which product areas operate
• Understanding of the product areas (inc. Corporate DCM, Financial Institutions DCM, Bond Syndication, Debt Advisory, Loan Markets, Secondary Loan Syndicate)
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