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        • london, london
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        FICC Compliance Manager, Fixed Income Compliance AdvisoryDepartment: Capital Markets, Compliance LondonPurpose:To protect the brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:* Aligning regulatory priorities with the Business;* Creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;* Establishing and maintaining a strong, effective control environment; and* Identifying and communicating compliance risks inherent in the business to senior management and the business.PRIMARY RESPONSIBILITIES:Compliance Manager within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting the following London businesses: FICC (Fixed income / currencies and commodities).Responsibilities Include:* maintaining a detailed knowledge of applicable banking regulations, best practices and relevant internal policies and procedures;* designing and maintaining policies and procedures to address identified regulatory risks;* devising and delivering Compliance training to businesses which comprise primary areas of responsibility;* collaborating with colleagues in the Trade Surveillance and Desk Monitoring team to identify ways to enhance our programs and incorporate any relevant issues arising from the interaction with the businesses;* advise on the application of current and future legislation for the conduct of business for the European operations;* review, advise and draft appropriate text from a compliance perspective for New Business Committee proposals emanating from businesses which comprise primary areas of responsibility;* assisting with desk monitoring activities to determine adherence with FCA conduct of business rules;* advise and assist Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to the transitioning of businesses which comprise primary areas of responsibility;* issue guidance as and when required to the front office regarding current or new regulatory requirements issued by the FCA and other relevant bodies;* to liaise where necessary with the relevant regulatory bodies;* conducting and reporting on compliance investigations of businesses captured by primary areas of responsibility as required;* to be an integral part of the compliance team, assisting other team members and undertaking ad-hoc assignments as required;* assisting with preparing the papers for the Reputation and Compliance Committee and other management fora; and* promoting observance of high standards of business conduct and ethical standards. AUTHORITIES, IMPACT, RISK:* Complete freedom of access to records relating to the business of Group companies including investment business activity and members of staff involved in all such activities..* Being appropriately advised of business developments. *RESULTS EXPECTED & EVALUATED* Timely and technically accurate research and advice;* Clear and concise written and verbal communication;* Completed drafts of compliance communication, policy and procedures; and* Creation and delivery of appropriate training modules for front office staff (where the need for such training has been identified).KEY RELATIONSHIPS* Co-Head of Compliance, Europe* Senior Officers and business Heads in the UK* Compliance Officers throughout the organisationJOB SPECIFICATIONS:* Excellent written and verbal communication skills;* Knowledge of primary and secondary UK financial services legislation;* Knowledge of FCA Handbook, specifically Conduct of Business Rulebooks;* Good knowledge of products traded in Global Markets;* Ability to draft clear and technically accurate regulatory guidance, policies and procedures;* Ability to assist in devising appropriate compliance desk monitoring programmes;* Ability to articulate regulatory issues to key relationship contacts;* Ability to assist with ad hoc internal regulatory investigations; and* Ability to maintain the confidentiality of sensitive information.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        FICC Compliance Manager, Fixed Income Compliance AdvisoryDepartment: Capital Markets, Compliance LondonPurpose:To protect the brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:* Aligning regulatory priorities with the Business;* Creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;* Establishing and maintaining a strong, effective control environment; and* Identifying and communicating compliance risks inherent in the business to senior management and the business.PRIMARY RESPONSIBILITIES:Compliance Manager within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting the following London businesses: FICC (Fixed income / currencies and commodities).Responsibilities Include:* maintaining a detailed knowledge of applicable banking regulations, best practices and relevant internal policies and procedures;* designing and maintaining policies and procedures to address identified regulatory risks;* devising and delivering Compliance training to businesses which comprise primary areas of responsibility;* collaborating with colleagues in the Trade Surveillance and Desk Monitoring team to identify ways to enhance our programs and incorporate any relevant issues arising from the interaction with the businesses;* advise on the application of current and future legislation for the conduct of business for the European operations;* review, advise and draft appropriate text from a compliance perspective for New Business Committee proposals emanating from businesses which comprise primary areas of responsibility;* assisting with desk monitoring activities to determine adherence with FCA conduct of business rules;* advise and assist Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to the transitioning of businesses which comprise primary areas of responsibility;* issue guidance as and when required to the front office regarding current or new regulatory requirements issued by the FCA and other relevant bodies;* to liaise where necessary with the relevant regulatory bodies;* conducting and reporting on compliance investigations of businesses captured by primary areas of responsibility as required;* to be an integral part of the compliance team, assisting other team members and undertaking ad-hoc assignments as required;* assisting with preparing the papers for the Reputation and Compliance Committee and other management fora; and* promoting observance of high standards of business conduct and ethical standards. AUTHORITIES, IMPACT, RISK:* Complete freedom of access to records relating to the business of Group companies including investment business activity and members of staff involved in all such activities..* Being appropriately advised of business developments. *RESULTS EXPECTED & EVALUATED* Timely and technically accurate research and advice;* Clear and concise written and verbal communication;* Completed drafts of compliance communication, policy and procedures; and* Creation and delivery of appropriate training modules for front office staff (where the need for such training has been identified).KEY RELATIONSHIPS* Co-Head of Compliance, Europe* Senior Officers and business Heads in the UK* Compliance Officers throughout the organisationJOB SPECIFICATIONS:* Excellent written and verbal communication skills;* Knowledge of primary and secondary UK financial services legislation;* Knowledge of FCA Handbook, specifically Conduct of Business Rulebooks;* Good knowledge of products traded in Global Markets;* Ability to draft clear and technically accurate regulatory guidance, policies and procedures;* Ability to assist in devising appropriate compliance desk monitoring programmes;* Ability to articulate regulatory issues to key relationship contacts;* Ability to assist with ad hoc internal regulatory investigations; and* Ability to maintain the confidentiality of sensitive information.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

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