Compliance Officer, Global Markets

Corporate & Investment Bank, London

Our client is seeking a Compliance Officer to lead on Compliance coverage for the UK Global Markets Sales and Structuring and Global Structured Credit Syndication businesses.

This person will also need to work cross functionally in support of the broader activities of the Compliance function.  In doing so, they will be required to build strong and effective working relationships with stakeholders across the business, support and control functions and in Head Office.

They will be required to take a proactive role in identifying the applicable rules and regulations impacting London Branch and maintaining a framework to provide that this is kept up to date and that it is clear who has responsibility for which areas and compliance with the requirements.  Where necessary, they will work with the Control team to develop effective routine compliance risk assessment processes.

The incumbent will coordinate Compliance investigations as and when required, establishing protocols for investigations and the reporting of results.

  • Experience managing complex cross-border compliance projects
  • Experience in providing effective Compliance support and challenge to Global Markets business areas with particular focus on structuring, distribution and sales activities
  • Knowledge of FCA/PRA rules and regulations and experience of dealing with UK regulatory expectations on a day to day basis
  • Experience in the development and delivery of impactful Compliance training
  • Proven experience in developing effective collaborative working relationships across functions and jurisdictions
  • Practical knowledge and experience of Compliance Risk Management techniques

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