The role will support the Head of Compliance for this boutique Investment Bank.
Key Job Functions:
• Responsible for Compliance queries arising from the Execution, Research, Sales, Sales Trading and Corporate Advisory teams.
• Deputising when required with the day-to-day management of the Compliance team and also direct line management of the Compliance assistant(s).
• Carrying out reviews in accordance with FCA thematic review findings.
• Carrying out and overseeing monitoring reviews in line with the Compliance Monitoring Plan.
• Support the Business in identifying/managing potential and existing risks & Conflicts of Interests in accordance with the firm’s Risk Framework and Conflict of Interest policy.
• Reviewing and approving Financial Promotions
• Oversight of the Market Abuse system to identify potential STORs, ensuring the quality of the teams monitoring
• Managing FCA queries including, but not limited to thematic reviews, S165s and Questionnaires.
• Attend appropriate committees.
• Supporting the business to ensure that it meets its MAR obligations
• Development and implementation of policies and procedures
• Oversight of the capital markets divisions:
FCA returns, including Gabriel, Connect and fees.
Transaction Reporting monitoring
• Dealing with general ad-hoc business/compliance issues when they arise
Front Office Business units, Operational management, Compliance Department, Senior Management
Key Skills / Experience
• Team player
• Excellent communication skills
• Firm understanding of the capital market business
• Ability to interpret rules and guidance and apply them to the business
• Consider the commercial impact of decisions
• Problem solving