Compliance Advisory - DCM

  • Location:

    London, England

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £70000 - £100000 per annum

  • Contact:

    Matthew Pollard

  • Job ref:

    MP050219_1549367922

  • Published:

    4 months ago

  • Expiry date:

    2019-03-07

  • Startdate:

    ASAP

  • Provide challenge, oversight and technical advice to ensure the business acts in compliance with all relevant local legislation, regulation and group policy standard
  • Hone your existing financing skills and advance your career in this exciting, fast paced role
  • Acting as a trusted adviser to the DCM business by helping the bankers to understand and take ownership of Compliance & Conduct risks, ensuring that risks are being appropriately identified, assessed and mitigated
  • Providing advice and challenge to the DCM bankers on the identification and management of conflicts of interest and information flows
  • Providing up to date guidance on existing standards and regulations that impact the private side business, including advising on any upstream changes to ensure timely implementation into the firms procedures
  • Drafting and updating policies and procedures relevant to the private side
  • Ensuring compliance and regulatory risks are addressed appropriately in all working groups where Compliance is represented
  • Providing training to the business on relevant regulatory and policy topics
  • Recording escalation and approval by the relevant local or functional Risk Committee where divergences in standards are identified
  • Supporting the wider Compliance and Conduct team in the group's wide initiatives

Experience

  • Have working knowledge and experience of regulatory requirements impacting a private side business.
  • MiFID, Conduct of Business rules, distribution, Information Barriers, the market abuse regime and other relevant rules.
  • Stakeholder management
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