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Compliance Advisory - Capital Markets

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Salary £90k to £110k
Type Permanent
Location London
Sector Compliance
Job Reference T3A/AXP/32058
Contact Adam Pollard
Date posted 08-07-2019

BRUIN financial is currently working with a leading multinational financial services company to find an Associate Director that will join the Capital Markets Compliance Team. The candidate fulfilling this role will be responsible for supporting the Head of Futures & Commodities and the Head of Treasury Management Services in relation to Operations advisory activities for the Capital Markets business.

Vital Responsibilities Include:

• Designing and maintaining policies and procedures to address identified regulatory risks
• Issuing guidance as and when required to the front office regarding current or new regulatory requirements issued by the FCA and other relevant bodies;
• conducting and reporting on compliance investigations of businesses captured by primary areas of responsibility as required;
• reviewing, advising and drafting appropriate text from a compliance perspective for New Business Committee proposals emanating from businesses which comprise primary areas of responsibility
• Devising and delivering Compliance training to businesses which comprise of the primary areas of responsibility

Successful qualities required for this role:

• Relevant experience in Operations Compliance Advisory.
• Knowledge of primary and secondary UK financial services legislation;
• Good knowledge of the operational and reporting aspects of some of the following: MiFID II, EMIR, SFTR, PSD II, CSDR and CASS;
• Knowledge of FCA Handbook, specifically Conduct of Business Rulebooks

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Contact Adam about this job

AVP, Consultant