Current Opportunities

Global Investment Bank

Global Markets Compliance Officer

Immediate Start - Full Time
London

Our client is committed to an inclusive culture that embraces, leverages, and respects the diversity of their people, clients, and communities in order to reach their aspiration to be the leading client-centric global universal bank. They foster an inclusive and respectful work environment where every employee can contribute his or her best work, succeed based on merit, and be rewarded appropriately. They have retained E2W to help them identify female candidates for a Global Markets Compliance Advisory Role.

Overview:

You’ll be joining the Global Markets (GM) Compliance team, which is responsible for supporting the Markets and Treasury businesses in complying with applicable rules, regulations, guidelines and industry best practices.

Key Responsibilities:

  • Supporting the GM Compliance Director as required in the implementation of strategic compliance and regulatory initiatives across GM and other business divisions where required
  • Working with the GM Compliance director and other Compliance stakeholders as required to ensure the framework of global, regional and product policies, procedures, training, risk assessment, testing and surveillance are sufficiently comprehensive, up to date, effective and consistent 
  • Assisting where required in the implementation of regulatory change programmes within Compliance and the businesses 
  • Supporting the GM Compliance Director and Global Head with remediation initiatives and the Bank’s strategies including coordinating and recording remedial work resulting from the annual Risk Assessment process
  • Working with the GM Compliance Director to develop and implement Management Information Systems for the team for submission to various GM and Compliance Executive Committees including conducting regular briefings to committee attendees beforehand where required
  • Providing transactional support to front office New Transaction Approval (NTA)/New Product Approvals (NPA)) and guidance for middle office to ensure individual traders are compliant and adhering to guidelines
  • Reviewing conflict escalations (e.g. issues identified by Control Room, Deal Logging and Conflict Clearing teams)
  • Approval and delivery of training and culture carriers to the business
  • Providing advice on GM projects and audits

Skills & Qualifications:

  • Experience in a compliance advisory role at a major investment bank
  • Strong interpersonal skills with experience of managing senior key stakeholder relationships
  • Proven track record of delivery on major compliance and regulatory initiatives as well as the roll out of Compliance policies, procedures and enhancements to the first line of defence control environment
  • Strong persuasion and influencing skills to drive regulatory initiatives to a timely conclusion



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