Contact Joe about this job
Find a Job
BRUIN Financial is currently working with a global financial services firm who are looking for a Compliance Advisory Manager to join their Compliance department. The successful candidate will join a department which seeks to manage compliance risk and deepen the culture of compliance at firm through the development and management of strategies that are sustainable and increases the trust of our clients.
As a Compliance Advisory Manager your responsibilities include:
Providing advice to staff regarding applicable laws, rules, regulations and the firms policies and procedures on a timely basis
Advising the business on the establishment, improvement and documentation of their controls
Reviewing and opining on new business initiatives and transactions
Drafting and reviewing policies and procedures resulting from regulatory developments
The successful incumbent requires:
An understanding of securities, corporate and contract law with an up-to-date knowledge of the rules of at least one of the main lead regulators (e.g. FCA, PRA, BaFin or SEC)
In depth operational knowledge (trading through to trade confirmation) of relevant products (equities, structured transactions, equity derivatives, etc.)
The ability to interpret, understand and advise an appropriate course of action on a broad range of legal and regulatory provisions
A clear understanding of the compliance and legal issues impacting major investment banks
For more information please contact Joe Smith on 02031453376 or email@example.com.
Ready to apply for this job? Apply Now