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Compliance role providing support across the whole London Compliance function
Opportunity to develop and train across various Compliance areas with a long-term view to progress within Advisory Compliance
Functional: (role-related responsibilities)
The Compliance Analyst will be a generalist role providing support to Advisory Compliance, Financial Crime Compliance and Reviews & Compliance Management. It is expected that the incumbent will develop with the role and ultimately look to take more senior role within the Advisory Compliance function.
The core activities include:
In conjunction with senior colleagues, supporting the business in achieving its strategic goals through delivering specialist, consistent and clear compliance support, advice and challenge.
Assisting the business to formulate standards, systems and procedures which comply with internal policy standards as well as the applicable laws and regulations to which London Branch is subject
Develop personal skills as a Compliance Subject Matter Expert
Assist in the conduct of the local regulatory monitoring and surveillance programme as required
Assist in the development and delivery of compliance training
Provide support and carry out tasks on behalf of the London Financial Crime team as required
Provide support and carry out tasks on behalf of the London Reviews & Compliance Management team as required.
Foster interaction with London, Munich and Global Compliance to deliver an efficient and effective compliance framework throughout the Group escalating potential breaches and issues
Organisational: (committee memberships, cross-border projects and interactions, local interactions within the branches, authorities, etc.)
Interaction with Compliance in Germany, Italy and other countries as required
Attending meetings, work groups and seminars relating to Compliance where necessary
Knowledge and understanding of FCA rules and regulation, their impact on the business, and cross-border regulation
Knowledge of UK expectations of standards of personal conduct
Knowledge of requirements of business conduct including dealing with clients, advice, suitability, execution, client communications, and market abuse
Knowledge of regulated investment products and exchange rules where applicable
Knowledge and understanding of EU Directives
Knowledge of BaFin rules and German regulation
Knowledge of Bank of Italy and CONSOB rules and regulation
Excellent written and verbal communicator who understands the various means and styles of delivery available and is able to adapt accordingly to the audience, interacting effectively with staff at all levels
Excellent negotiation and influencing skills
Ability to provide concise and accurate advice under pressure
Experience gained within a corporate and investment banking environment
Experience within a compliance team
Good knowledge of MS office applications
Business and commercial awareness
German/ Italian language skills
Internal Number: 6315383
About UniCredit Bank AG
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