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Provide compliance advice to the FICC business including: responding to ad hoc queries, provision of input to formal projects, new products and business proposals, consideration of reputation risk matters, policy updates, training and assessing regulatory change.
Execution of a risk based compliance testing program including: risk assessment, business reviews, thematic reviews and testing, and surveillance and logging, escalation and ensuring resolution of relevant items.
Execution of the local and global testing program to include, local, global, desk and thematic reviews. Completion of ad hoc reviews as required.
Undertake various core compliance processes including: regulatory liaison, reporting, registrations, licensing, gifts & entertainment, employee trading, conflicts, projects and breaches.
Assess regulatory change and ensure that the bussiness are aware of proposals and implemented rules changes.
Facilitating coordination with other internal control functions as required, e.g. Internal Audit and Operations.
For more information please contact Jake Wyatt at Holmes Search.