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UK & Regional
Our leading financial services client, has a requirement for a Compliance Advisory to join their Compliance Department, based in their Birmingham offices.
As an advisory in this department you will sit on the floor in Front office directly supporting the business with all Compliance related queries.
This is a permanent role with a competitive salary + benefits and excellent opportunities for progression.
Working with staff in Global Markets (GM) and Corporate Investment Banking (CIB) to ensure they act in accordance with all regulatory requirements on applicable laws. Whilst also providing input with respect to new/ updated policies and ensuring that necessary actions are taken by front office to meet the regulatory requirement
Monitoring regulatory developments and changes
Build and maintaining transparent and effective relationships with the other control functions
Actively participating in the implementation of the Compliance Controls Framework (CCF)
Helping to ensure all staff are adequately trained in line with regulatory requirements and annual training objectives
Representing Compliance at relevant industry associations and on internal committees
Skills and Qualifications:
Strong product knowledge FX or debt
Good understanding of regulations including MiFID
Experience within Compliance, Accounting, Legal, Policy or Audit Advisory teams preferred
Relevant product knowledge or adaptable Financial Services knowledge desired
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