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VP Operational Compliance - Global Bank

Recruiter
Real Staffing
Posted
10 July 2014
Closes
07 August 2014
Ref
RE-12496248
Contact
Ryan Graham
Location
Function
Contract Type
Hours
Salary
Highly competitive

Further information

VP - Operational Compliance - Global Bank

A leading Corporate & Investment Bank in London is seeking a VP in Operational Compliance to provide multi-asset class advisory assistance to the product advisory team and compliance support to variety of business areas which include client asset protections; trade and transaction reporting; outsourcing and off-shoring arrangements; client on-boarding and categorisation requirements and client reporting.

Responsibilities:

  • Managing the implementation of relevant regulatory legislation across EMEA.
  • Managing Operational Compliance Projects and Initiatives.
  • Developing relevant impact assessments in conjunction with Product Compliance and impacted areas.
  • Creating and maintaining project schedules in relation to relevant assignments.
  • Reporting on regulatory change initiatives and other Operational Compliance reviews, projects and initiatives and agree remediation actions and timelines with relevant areas.
  • Assisting in the design and update of policies and procedures to address regulatory changes and operational compliance initiatives.
  • Participating in the design and delivery of relevant training for business, operational and other infrastructure staff.
  • Interfacing across compliance and relevant business areas to ensure that operational practices and independent controls remain compliant.
  • Providing in-depth knowledge and experience of the relevant EMEA rules and regulations relating to trade, transaction and position reporting; client categorisation and onboarding and client reporting.
  • Providing real time support and advice in relation to operational compliance topics to EMEA based businesses and Operational support teams.
  • Assisting in the review and sign-off of New Product or other enhanced transactional or business approvals.
  • Interacting with relevant professional bodies and trade associations on relevant rules and regulations.

Requirements:

  • Experience of developing policy, assessing risks, conflicts, implementing procedures, training monitoring investigations and review.
  • Demonstrable involvement in significant regulatory compliance change programmes with direct experience of leading or project managing such programmes a distinct advantage.
  • Experience in a compliance or legal department working in an investment bank or other comparable or relevant environment.
  • Working knowledge of financial products, financial securities and derivatives markets.
  • Strong working knowledge of Middle Office and Back Office Operations functions.
  • Degree level education or equivalent work experience with further qualifications preferred (e.g. MBA, legal or accountancy qualification)

Salary - Highly competitive

Location - CanaryWharf

This is a fantastic opportunity to progress your career rapidly within a top Investment Bank. If you are interested in applying then please send a copy of your CV to Ryan Graham ASAP at r.grahamatrealstaffing.com

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