• 15 July 2008
• Reference: JR202862

• Compliance Advisory (Fixed Income)

• City of London £60,000 - £60,000 p/a Permanent

Compliance Advisory Team Position Mandate

Background
Our client is seeking to recruit a senior compliance manager with years relevant compliance/legal/regulatory/consulting experience to its advisory team in London. We would welcome suitable candidates from the following backgrounds:-

Wholesale / retail bank compliance departments;
Internal audit;
Regulatory consulting units of the Big Four Professional Services firms;
Regulatory practices of City Law firms; and
Industry regulators

Position Description and Responsibilities
Capital Markets Compliance is responsible for advising, assisting, monitoring and investigating Capital Markets businesses adherence to relevant regulatory rules and industry standards. The candidate will be responsible for providing coverage to Debt Capital Markets. There will be a strong emphasis upon the Fixed Income and both vanilla and structured derivatives areas of Debt Capital Markets. The candidate will report to the primary compliance contacts for both business areas.

The candidate will be responsible for the following:
providing timely and technically accurate regulatory advice in response to transactional, project and other business queries;
undertaking regulatory / legislative research on matters impacting Debt Capital Markets;
drafting appropriate compliance communication;
reviewing new product/business initiatives emanating from Debt Capital Markets;
devising, delivering and maintaining a record of compliance training;
devising compliance policies, procedures and processes as appropriate; and
participating as required in internal investigations of potential breaches of regulatory requirements and policies.

Knowledge and Experience
The ideal candidate would possess knowledge and experience of the following although candidates that demonstrate the aptitude for undertaking this role will also be considered:

Good understanding of the UK regulatory environment;
Good understanding of the FSA Handbook;
Good understanding of issues pertaining to public /private information flows;
General understanding of Takeover Panel Rules;
General understanding of fixed income and vanilla structured products;
General understanding of SYSC rules pertaining to managing potential conflicts of interest;
General understanding of rules pertaining to investment research; and
General understanding of financial promotion rules.

Required Competencies
Excellent written and verbal communication skills;
Strong analytical skills;
Strong attention to detail;
Good interpersonal skills;
General common sense;
Flexibility in attitude /approach to work;
Good use of initiative and organised.
Good practical knowledge of Word, Excel and Power Point.

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