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My client, a large independent financial advisory group, is seeking a proactive individual to join the Central Compliance team. The ideal candidate will focus on Global Advisory and Merchant Banking monitoring & reviews, investigations and Group initiatives. This role is based in Group's Head office in London, but occasional business travel will be required.
* Responsible for the Global Advisory (M&A, financing advisory) and Merchant Banking (private equity / private debt funds) monitoring programmes and regulatory investigations, specifically: * Assist with the annual update of the Compliance Risk Assessments, in conjunction with the relevant Compliance Advisory. * Develop the annual monitoring and reviews plan with assistance of the senior Monitoring Manager. * Conduct desk and thematic reviews in accordance with the plan, including scoping, testing and report drafting. * Track and validate the remediation of the issues identified during the reviews. * Conduct investigations (e.g. regulatory requests, information leak enquires) as they arise, including electronic communication eDiscovery exercise and file folders access review. * Assist in integration of the monitoring results with the wider risk framework of the Group, including the Operational Risk Assessments (ORA) and Permanent Controls reporting. * Participate in the annual process to link risk, behaviour and employees remuneration across the Group. * Assist with the Compliance Risk Assessments harmonisation across the Group. * Participate in other change programmes, including integration of new systems and technology to enhance and further develop existing compliance processes.
Experience and Qualifications:
* Appropriate experience gained in monitoring and reviews within a compliance function of a financial services institution. * Understanding of Corporate Finance and Capital Markets, knowledge of the relevant regulatory environment and applicability to the business. * Understanding of private equity / private debt funds is desirable but not essential.
* Methodical, structured and rigorous approach to delivery. * Capable of problem-solving and acting independently. * Strong written and oral communication skills. * Ability to foster strong working relationships within the LCR team and with the businesses Motivated, proactive, willingness to learn and develop. * Integrity, high sense of discretion and confidentiality. * Excellent MS Office skills, particularly Excel, databases, etc.
Internal Number: 5718008
About Charles Levick
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