Our client is a pre-eminent provider
of investment banking and financial services. They provide
a full range of investment, financial market and advisory
products and services. Internationally they focus on
select markets where they are able to provide special
value.
KEY RESPONSIBILITIES
Provide compliance support to the group's teams, including
Funds Management, Funds Distribution, Structured Finance
and Asset Financing.
Maintain the European compliance plan and related
policies and procedures and monitor compliance with
these policies.
Provide regulatory compliance reports (exception and
assurance based) to RMGC, relevant board/s and business
teams per the compliance plans and governance framework.
Facilitate the provision of legal compliance advice
for the teams where requested.
Develop strong working relationships within Compliance,
RMGC and the business teams.
Provide real time regulatory compliance support to
clients.
Keep abreast of upcoming, new and revised rules, regulations
and directives applicable to the teams, and facilitate
changes as required. This includes proactive and early
communication with business and compliance stakeholders
to ensure timely compliance with any changes required.
Assist with maintaining staff registrations and with
the delivery and monitoring of approved persons training.
Implement appropriate compliance systems and strategy
for the business teams.
Maintain and monitor Conflicts of Interest Policy
and Procedures including Chinese Wall crossings, embargos
and staff trade clearances
Assist with the review and approval of Financial Promotions
Review, approve and monitor security access
Assist RMGC with appropriate anti-money laundering
checks of approved distributors and clients, where applicable
Act as the primary compliance contact for the Private
Placement Group with a particular focus on related Chinese
wall and conflicts of interest issues
Excellent opportunity for a compliance professional
to join an expanding team with fast-track promotion
prospects.
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