2 jobs found in london

Compliance Manager, Equities Advisory ComplianceDepartment: Capital Markets, London CompliancePURPOSE: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: Global Equities including Global Equity DerivativesResponsibilities include:* advising senior business management on policies and regulatory matters;* Compliance contact for transactional and regulatory queries;* undertaking regulatory/legislative research in respect of matters impacting the business;* assisting the Compliance department with implementing key regulatory initiatives;* accountable for maintaining the Regulatory Compliance Management documentation for the Global Equities business lines;* advising on existing and future UK and EU legislation/ regulatory and industry rules likely to affect the London businesses;* drafting appropriate Compliance communications;* providing pro-active and timely advice on regulatory and firm policy requirements;* conducting product research driven by new product/business initiatives;* reviewing and drafting appropriate regulatory assessments for the New Business Committee proposals within coverage;* undertaking ad hoc Compliance monitoring reviews;* devising Compliance policies, procedures and processes to enable business units to comply with current regulatory and firm policy requirements;* proactive identification of issues impacting coverage areas through participation in business, industry and regulatory initiatives;* devising and delivering appropriate training and other forms of communication and monitoring adherence to such training and communications;* resolve Compliance/regulatory issues identified from surveillance and other oversight functions, e.g. Internal Audit;* collating and producing the quarterly Board and Committee Reports in a timely manner;* advising and assisting Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to global initiatives/projects;* working with Group Law functions in London and advise on regulatory matters affecting businesses comprising primary areas of responsibility; and* assisting Compliance Monitoring with devising appropriate regulatory desk monitoring programmes.RESULTS EXPECTED & EVALUATED* Timely and technically accurate advice.* Completion of compliance guidance, policies and procedures (where the need for such communication has been identified).* Creation and delivery of appropriate training modules to front office staff (where the need for such training has been identified).* Completed desk monitoring reviews as required.KEY RELATIONSHIPS* Head of Capital Markets Compliance Europe* Senior Officers and Business Heads UK* Compliance colleaguesJOB 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