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My client is a well established global banking firm, with a presence in the City of London.
The Compliance Officer role focuses on taking ownership over the Control Room function for the region. The role will require somebody to work intuitively and independently to manage the following:
Primary responsibility for the region's conflicts management platform. Primary responsibility for the Conflicts of Interest Policy, Global Information Barrier Policy and related procedures.
Primary responsibility for conflicts of interest monitoring and investigating, insider list and permanent insider list control and maintenance, wall crossing process as well as maintaining related logs and records.
Responsible for representing region on all Global Control Room conflicts management calls and committee meetings.
Responsible for the annual review of the region's Control Room Operating Level Document
Responsible for the annual review of the Global Information Barriers Policy and the ongoing update and maintenance of related procedures.
Responsible for responding to queries related to the Global Information Barriers Policy and the Conflicts of Interest Policy
Responsible for investigating and resolving escalations received in relation to information barrier breaches.
Responsible for submitting regulatory disclosures under Takeover Panel Reporting, EU Short Selling, Transparency Directive TR1 - Major Shareholding and Issuer Requests
Responsible for submitting an insider list to the FCA upon request.
Proactively identify actual and potential violations of regulatory requirements, internal policies and procedures or other risk situations by conducting appropriate inquiries and investigations to ensure that appropriate corrective actions and/or risk mitigation actions are implemented in a timely manner or are escalated
Make recommendations and suggestions to relevant management on corrective or remedial measures to be taken and follow-up
Represent Compliance Europe in global projects that impact the conflict management platform.
Maintain a good working knowledge of European regulatory rules and principles and how these apply to business' Compliance program.
Primary responsibility for producing Control Room management information including KPI and KRIs to support monitoring of the business activity.
Update the issues log to ensure that issues identified are recorded, reported and resolved adequately
Assist on the formulation of new processes or systems to implement compliance with regulatory requirements and to strengthen the controls environment.
Liaising with internal and external audit and attend relevant meetings
Ensure prompt escalation of compliance issues
Maintain compliance knowledge through appropriate training and monitoring of emerging regulatory, legal and Group initiatives and requirements
The successful candidate will have worked in a Financial Services institution and have gained the following competencies:
Good working knowledge of UK and European regulatory rules and principles and how these apply to a Control Room
Superior knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the internet and related applications as tools for conducting compliance related research
Strong analytical skills and a keen eye for detail
Good time management and the ability to perform work to a high standard of accuracy under time pressure. Capable of simultaneously handling multiple tasks and meeting stringent deadlines
Well-developed interpersonal skills in order to provide a high level of service and maintain working relationships with assigned client groups and team members
Able to recognise and handle sensitive and confidential information
Self-motivated, confident and capable of working both independently and in a team environment
Results oriented and high achiever
Reliable, consistent and disciplined
High level of integrity
Tactful, diplomatic and politely persistent
Solid relevant compliance experience in a financial institution
Administrative and time management skills to meet various deadlines
Strong written and verbal business communication skills
The role on offer is a fixed term maternity cover, looking to compensate the successful individual the equivalent of £60,000-75,000pa basic salary.