Senior Compliance Officer - Control Room - VP
other jobs eFinancial Careers
Added before 10 Days
- England,London,City of London
- full-time
- Competitive salary
Job Description:
This company is a globally recognised powerhouse in the financial services sector, employing over 15,000 individuals worldwide. With a strong focus on innovation, they strive to continually develop their services to meet changing market demands.
Description
Senior Compliance Officer - Control Room - VP, London
The function typically acts as a second line of defence covering areas including; controls, assurance, monitoring, professional ethics, training and competence, whistleblowing, money laundering, market abuse, financial security and regulatory liaison.
The Private Side, Control Room, Functions and Securities Services team provides compliance support in the UK to the Private Side businesses, Functions Advisory, Control Room and Securities Service advisory. Private side activities cover; Global Banking and Capital Markets
The support includes:
*Providing compliance advice to the business lines and functions
*Compliance support to the business lines and functions in alignment with the client’s compliance strategy
*Assisting the business lines and functions in their adherence to applicable laws and regulations
*Interpreting and advising the relevant businesses and functions in adherence to applicable laws, regulations and standards
*Providing training to business and function staff on relevant laws, regulations and standards
*Supporting investigation of suspected breaches of laws, regulations and standards
Profile
*Assist in the general management of Control Room, including day to day staff management
*Manage and control the Watch, Grey and Restricted Lists and the identification and resolution of potential conflicts of interest.
*Assist the relevant business and functions areas in implementing key control room related policies and procedures for the territory.
*Assist in ensuring the client meets its regulatory requirements in relation to disclosures to the Takeover Panel, FCA and other regulators.
*Review and approve research reports versus the Grey/Watch and Restricted Lists to ensure potential conflict of interest is cleared.
*Assist to lead key projects, including IT enhancements and policy, procedure updates
*Lead on training of junior staff
*Contribute to the monitoring plan of the key activities of the Control Room.
*Contribute to committees by representing the UK Compliance function
*Contribute to the delivery of training.
Job Offer
*£500-600 per day via Umbrella
Description
Senior Compliance Officer - Control Room - VP, London
The function typically acts as a second line of defence covering areas including; controls, assurance, monitoring, professional ethics, training and competence, whistleblowing, money laundering, market abuse, financial security and regulatory liaison.
The Private Side, Control Room, Functions and Securities Services team provides compliance support in the UK to the Private Side businesses, Functions Advisory, Control Room and Securities Service advisory. Private side activities cover; Global Banking and Capital Markets
The support includes:
*Providing compliance advice to the business lines and functions
*Compliance support to the business lines and functions in alignment with the client’s compliance strategy
*Assisting the business lines and functions in their adherence to applicable laws and regulations
*Interpreting and advising the relevant businesses and functions in adherence to applicable laws, regulations and standards
*Providing training to business and function staff on relevant laws, regulations and standards
*Supporting investigation of suspected breaches of laws, regulations and standards
Profile
*Assist in the general management of Control Room, including day to day staff management
*Manage and control the Watch, Grey and Restricted Lists and the identification and resolution of potential conflicts of interest.
*Assist the relevant business and functions areas in implementing key control room related policies and procedures for the territory.
*Assist in ensuring the client meets its regulatory requirements in relation to disclosures to the Takeover Panel, FCA and other regulators.
*Review and approve research reports versus the Grey/Watch and Restricted Lists to ensure potential conflict of interest is cleared.
*Assist to lead key projects, including IT enhancements and policy, procedure updates
*Lead on training of junior staff
*Contribute to the monitoring plan of the key activities of the Control Room.
*Contribute to committees by representing the UK Compliance function
*Contribute to the delivery of training.
Job Offer
*£500-600 per day via Umbrella
Job number 1802263
metapel
Company Details:
eFinancial Careers
From simple beginnings in 1995, Talent has been on a journey to redefine the world of recruitment through creating the most empowering customer and ca...