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As a key element of the Group Compliance function, Employee Compliance interacts with other Compliance Teams, functional teams (such as HR, Law Group and Finance) and, most importantly, The Bank's client-facing teams across its Capital Markets, Wealth Management and Investor and Treasure Services platforms – offering a great opportunity to gain real exposure to and understanding of all areas of a large financial institution.
What will you do?
Work as part of the team providing sound regulatory advice, processes and tools to enable employees to meet their employee compliance obligations.
Support the delivery of The Bank's core conflicts management activities, through established personal account dealing, outside business activities and gift and entertainment processes
Maintain and continually seek to enhance Employee Compliance processes to achieve greater efficiency and effectiveness
Help develop and encourage others' participation in a strong and consistent compliance culture.
What do you need to succeed?
Experience in making judgements from applying policies and processes to non-routine scenarios with imperfect information.
Be comfortable in a fast paced environment, where non-routine and/or complex issues are common
Be able to handle complex issues, projects, and processes.
Demonstrate strong moral and ethical principles. A willingness to learn, accept accountability, demonstrate initiative and support effective co-operation.
Nice to Have
Previous relevant experience is preferable but not essential, for example experience working with Employee conflicts management systems, processes and policies and Conflict management focused rules and regulations (e.g. FCA COBS and/or SYSC)
What's in it for you?
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.