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Two roles have come available in this Compliance Advisory team, which is responsible for providing Compliance Advisory services to the Securities Services businesses including Custody, Treasury and Asset Services. This team deals with ad-hoc queries from the business and provides real time advice, referring to various Handbooks focusing mainly on FCA, PRA and other UK regulations.
Each member of the team is exposed to all of the different business lines resulting in an extremely broad and varied role.
These positions are pitched at various levels, one being more senior than the other.
·A thorough understanding of Securities Services
·Strong FCA Handbook knowledge and experience
·Knowledge of either: fund accounting & administration, custodial services or asset management
·Strong communication and interpersonal skills with the ability to proactively partner with the business
·Able to make decisions under pressure and articulate reasons for their decision