My client is looking for someone specifically to provide oversight to their treasury trading business, this will involve providing day to day advice to the business as well as monitoring of controls. You will also work closely with the wider compliance oversight team
The Role will report directly into the Head of Conduct Oversight and provide accurate, insightful, high quality output, regulatory analysis, advice and guidance tailored to meet the needs of the firms Treasury (in particular Dealing Room) colleagues and senior stakeholders, and oversee and execute controls, operating as a Compliance functional specialist.
Assist in defining, agreeing and implementing policies and procedures required for effective Compliance and Conduct Risk management and promote good conduct.
Assist in carrying out Compliance Risks Assessments and helping to devise and implement an annual compliance oversight plan.
Carrying out compliance monitoring reviews.
Representing the Head of Conduct Risk Oversight at Committees.
Maintain and deliver an annual compliance training programme for the dealing room and secured funding teams
International liaison with relevant functions in addition to liaising with senior managers and directors.
Working with other Regulatory Risk & Compliance colleagues in order to;
maintain and monitor the Compliance risk framework of controls, policies and governance that operate within the Treasury Department.
identify regulatory changes, conduct a high level assessment of their impact on the firm and oversight implementation by the Treasury Department and Dealing Room. provide advice on due diligence on counterparties / clients of the Treasury Department.
participate in new product and complex transaction approvals.
maintain and monitor conflicts of interest management within Treasury Department and Dealing Room
monitor key conduct based regulatory reporting on a QA basis, e.g. EMIR, FCA transaction reporting.
- A good understanding of wholesale markets either in an investment banking or commercial banking firm.
- A good understanding of the regulatory environment, in particular the FCA and PRA Handbooks.
- An ability to assess and report compliance risks