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- Tasks: Join our Compliance Team to support advisory activities and develop compliance policies.
- Company: Be part of a leading investment banking firm with a global presence.
- Benefits: Enjoy flexible working options, professional development opportunities, and a vibrant workplace culture.
- Why this job: Make an impact by ensuring compliance and fostering strong relationships within the team.
- Qualifications: Ideal for those with a keen interest in compliance and regulatory frameworks.
- Other info: Opportunity to work closely with senior management and contribute to strategic initiatives.
The predicted salary is between 43200 - 72000 £ per year.
Job Description
Overall purpose of the role.
The incumbent will act as a core member of the CIB Compliance Team, supporting a broad range of Advisory Compliance activities across the support and control functions of the UK branch. The individual will act as a primary point of contact within Compliance for the Support, Control and Conduct Functions.
The role will involve developing relevant local compliance policies and procedures as well as coordinating and monitoring the effectiveness of compliance support for the UK branch within the framework of the overall our investment banking clients global compliance strategy and the compliance strategy set by the UK Head of Compliance.
The incumbent is required to establish strong relationships with colleagues in the support, control and conduct functions locally and also with relevant Head Office staff.
Main responsibilities of the role.
Compliance Policies and Procedures
- To provide that there are adequate, current, clear and sufficiently detailed compliance policies and procedures in place for the control, support and control functions so that relevant UK regulatory and legal requirements, regulations, rules and Head Office requirements are properly disseminated and understood.
- To work closely with the Regulatory Watch, Policy and Training Officer to ensure there is an effective and targeted regulatory watch process on an ongoing basis, so as to identify new laws, regulations and best market practices/regulatory expectations that will affect these functions.
- To assist in developing policies and procedures in conjunction with other Business Compliance Officers and the Regulatory Watch, Policy and Training Officer.
Regulatory Advice and Queries
- To provide effective and co-ordinated compliance advice in a timely manner to management and staff across the UK branch, as well as providing for an appropriate and timely two-way flow of information between Compliance and the the support, control and conduct functions. Compliance advice will include consideration of best practice, the regulatory requirements of competent authorities, as well as compliance with internal procedures and directives.
- In respect of enquiries from Regulatory bodies, to work with the relevant functions (such as Operations, Legal, etc) to provide an accurate and considered response within the required deadline.
- Assist in the evaluation of new business initiatives/products impacting the UK branch and risk assess any such initiatives including regulatory impact and ensure compliance with internal requirements.
Training and Awareness
- Work with the Regulatory Watch, Policy and Training Officer to develop, organise and deliver regular compliance training, targeted themed training, induction training and general awareness campaigns (in conjunction with the Central Compliance team), so as to maintain awareness by UK branch employees of applicable rules, regulations and best practice.
Compliance Monitoring Programme
- To support the Compliance Monitoring Programme for the UK branch, including reporting on identified weaknesses and monitoring implementation of agreed action points. Compliance monitoring is led by the Compliance Controls function, but this should not preclude the incumbent from initiating monitoring in areas not covered by the agreed plan.
- Support the annual Compliance Risk Assessment programme for the UK branch ensuring risks and controls are correctly identified and recorded.
Rolling Business Reviews
- Once implemented, to provide input into the planning of, and participate in, regular risk-based reviews across their areas of coverage (in conjunction with other members of the Compliance Department as applicable), reporting on identified weaknesses and following through to ensure implementation of agreed action points.
Conduct
- To work with the EMEA and Global Heads of Conduct to ensure that the Global and local Conduct frameworks reflect UK regulatory expectations and good practice.
- Management Reporting
- To support the development and production of complete accurate and meaningful monthly Management Information for their areas of coverage and ensure that it is delivered on time for routine Compliance reports to management.
Central, Functions and Conduct Compliance Officer employer: LevelUP HCS
Contact Detail:
LevelUP HCS Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Central, Functions and Conduct Compliance Officer
✨Tip Number 1
Network with professionals in the compliance field, especially those who work in investment banking. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Familiarise yourself with UK regulatory requirements and compliance frameworks relevant to investment banking. This knowledge will not only help you in interviews but also demonstrate your commitment to understanding the role's responsibilities.
✨Tip Number 3
Prepare to discuss specific examples of how you've developed or implemented compliance policies in previous roles. Highlight your ability to work collaboratively with various functions, as this is crucial for the position.
✨Tip Number 4
Stay updated on recent changes in compliance regulations and best practices. Being knowledgeable about current events in the compliance landscape will show your proactive approach and readiness to contribute effectively from day one.
We think you need these skills to ace Central, Functions and Conduct Compliance Officer
Some tips for your application 🫡
Understand the Role: Thoroughly read the job description for the Central, Functions and Conduct Compliance Officer position. Make sure you understand the key responsibilities and required skills, as this will help you tailor your application.
Highlight Relevant Experience: In your CV and cover letter, emphasise any previous experience in compliance, regulatory advice, or policy development. Use specific examples to demonstrate how your background aligns with the responsibilities outlined in the job description.
Showcase Relationship-Building Skills: Since the role involves establishing strong relationships with colleagues, include examples of how you've successfully collaborated with different teams or departments in past roles. This will show that you can effectively communicate and work with others.
Tailor Your Application: Customise your CV and cover letter to reflect the specific requirements of the job. Use keywords from the job description to ensure your application stands out and demonstrates your understanding of the role's expectations.
How to prepare for a job interview at LevelUP HCS
✨Understand Compliance Regulations
Familiarise yourself with the latest UK compliance regulations and how they apply to the support, control, and conduct functions. Being able to discuss specific regulations and their implications will demonstrate your expertise and readiness for the role.
✨Showcase Relationship-Building Skills
Since the role involves establishing strong relationships with colleagues across various functions, prepare examples of how you've successfully built and maintained professional relationships in previous roles. This will highlight your interpersonal skills and ability to collaborate effectively.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Think through potential challenges you might face in the role and how you would address them, particularly regarding compliance advice and regulatory queries.
✨Demonstrate Training and Awareness Initiatives
Be ready to discuss any experience you have in developing or delivering training programmes. Highlight your understanding of the importance of compliance training and how it can enhance awareness among employees, which is crucial for this position.
