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~~In this role you will be responsible for providing clear advice to the business on compliance matters, ensuring that all applicable regulatory requirements are met.
Assist the Head of Advisory Compliance with regard to strategic direction, culture and advice.
Ensure that the businesses receive a true 'value added' service from the Advisory Compliance function.
Assist with the implementation of MiFID II and other regulatory change.
Assist in the identification of upstream regulatory risk and work to respond to or mitigate any such identified risks.
Deliver regulatory advice and compliance-related strategic support within the department.
Build / maintain effective working relationships with key internal stakeholders to facilitate and protect the business.
Play an active role in the Advisory Compliance team, participating in relevant committees, groups and fora as required.
Review the output from the Monitoring Programme and ensure that any remedial action necessary is carried out.
You should have a broad based compliance experience, with experience advising front office teams in investment banking or securities firms; with a good knowledge of back office, settlement and clearing systems. A good knowledge of relevant FCA rules (MAR, COBS, SYSC) and EU directives and regulations is essential, as is a deep understanding of wholesale financial markets.