A wonderful opportunity within a premier global investment firm , chiefly active in global capital markets and global wealth management . Working in a team of two you will provide compliance Services and support the delivery of core elements of the Compliance Management Plan
A wonderful opportunity within a premier global investment firm , chiefly active in global capital markets and global wealth management . Working in a team of two you will provide compliance Services and support the delivery of core elements of the Compliance Management Plan
KEY RESPONSIBILITIES
Support the ongoing operation of Central Compliance team, as directed. The core activities of the Central Compliance team in London impacting on the employee will include:
Handling terms of business and other related correspondence from counter parties, and liaising with the Law department as necessary on matters requiring their input (approx 30% of role) Advising and supporting the Capital Markets Operations department on regulatory matters of relevance to them and in particular Transaction Reporting, Client Assets, Client Money and systems access Updating and maintaining, as required, Compliance Policies and procedures which pertain to Central Compliance Guiding other members of the team on non-standard cases pertaining to Approved Persons, Gifts, Personal Dealing, Outside business activities, tracking of audit and regulatory actions etc Assist the Head of Central Compliance
Qualifications A broad knowledge of the UK regulatory framework including an excellent understanding of the FSA Conduct of Business and Market Abuse rules. Ability and willingness to accept accountability, demonstrate initiative, work with limited direct supervision and support effective cross-unit co-operation, information sharing etc
Preferred A legal background may be beneficial, given approximately 30% focus on counterparty documentation Working knowledge of Capital Markets operations department and in particular transaction reporting
