• 3 December 2008
• Reference: JR205047

• Compliance Officer

• City of London Excellent Permanent
• Benefits: excellent

A Compliance Officer is sought by a leading global investment banking, securities and investment management firm that provides a wide range of services to a substantial and diversified client base that includes corporations, financial institutions, governments and high net-worth individuals, worldwide. Situated on the trading floor in London key responsibilities and duties of the role are as follow;

*Provide advice and necessary approvals on transactions, structures, new products and business initiatives.
*Undertake surveillance and monitoring of sales trading activity ensuring compliance with appropriate rules, regulations and company policies.
*Create and implement compliance training programs for business unit professionals on new regulations.
*Develop policies, procedures and best practices for each business unit.
*Keep up to date with relevant regulatory and rule changes including the analysis and implementation of such changes.
*Participate in regulatory and internal investigations and audits.
*Liaise with various technical teams on local and global projects ensuring new system initiatives and enhancements comply with firm policy and regulatory rules.

Ideally you will have at least three years relevant compliance or legal experience gained within a securities or financial business environment. It is also envisaged you will have a strong understanding of the fixed income market and relevant products. Lastly, it is desirable that you are a good communicator and able to quickly learn new information and adopt new skills.

• Send to a friend

• Apply

Keywords related to this job

• Compliance,
• Compliance Product Specialists,
• City of London,
• Permanent,
• Asset/ Investment Management,
• fixed income,
• compliance,
• regulatory,
• policy