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- Tasks: Lead investigations into market misconduct and ensure compliance across Global Markets.
- Company: Join a top-tier financial institution focused on compliance and risk management.
- Benefits: Enjoy competitive pay, professional development opportunities, and a collaborative work environment.
- Why this job: Make a real impact in financial security while working with a dynamic team.
- Qualifications: Experience in compliance, investigations, or financial services is essential.
- Other info: This role offers a chance to work closely with legal and HR teams.
The predicted salary is between 72000 - 108000 £ per year.
Job Description
Business area
UK Compliance is an independent function responsible for providing specialist advice and support to UK Senior Management, business lines, and functions in adhering to internal controls and external rules and managing compliance risks.
The function typically acts as a second line of defence covering areas including controls, assurance, monitoring, professional ethics, training and competence, whistleblowing, money laundering, market abuse, financial security, and regulatory liaison. This includes providing advice on the development of control frameworks and conducting regular assessments of the effectiveness of controls.
The Market Abuse Surveillance team is responsible for delivering a comprehensive compliance market abuse surveillance and risk management framework across all CIB business lines and functions across EMEA.
Job purpose
As a member of the 2LoD alert investigations team, the individual will be responsible for the management, coordination, and conduct of investigations, where directed, relating to instances of significant market misconduct arising across the Global Markets business in particular.
Key responsibilities
- Whistleblowing and miscellaneous ad-hoc investigations
• Act as the EMEA MAS team’s Audit expert and assist in formal internal investigations.
• Depending on the ownership, scope, subject, and complexity of these cases, either coordinate or contribute to the relevant investigations and reporting.
• Ensure relevant analysis of data and records, assist in interviews, organise the investigation team and the investigation to a timely and meaningful conclusion.
• Liaise with Legal, HR, and Compliance teams as necessary in the conduct of these investigations.
• Assist in producing clear and concise reports regarding the outcome of the investigation (or relevant part of the investigation), make recommendations.
• Develop and maintain a close working relationship with Compliance and other colleagues on market abuse surveillance investigation matters.
• Maintain and adhere to strict confidentiality rules when managing whistleblowing and other confidential cases. - Expert in trade surveillance
• When investigations are not prioritised, perform day-to-day L2 trade surveillance investigations across CIB EMEA and review alert cases to recommend whether they should be classified as STORs and MOs before submission.
• Liaise with Compliance teams locally, regionally, and globally on escalations and investigations.
• Contribute to the production and maintenance of relevant Standard Operating Procedures.
• Support the L1 offshore team by acting as one point of escalation.
• Participate in or lead training initiatives for off-shore based L1 teams.
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Compliance Manager, MAS Investigations - Vice President employer: Morgan McKinley
Contact Detail:
Morgan McKinley Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager, MAS Investigations - Vice President
✨Tip Number 1
Familiarize yourself with the latest regulations and compliance frameworks relevant to market abuse and trade surveillance. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in this fast-paced field.
✨Tip Number 2
Network with professionals in the compliance and financial services sectors. Attend industry events or webinars to connect with others who work in similar roles, as they can provide valuable insights and potentially refer you to job openings.
✨Tip Number 3
Prepare for situational interview questions by thinking of specific examples from your past experiences that showcase your skills in investigations, data analysis, and collaboration with legal and compliance teams. This will help you articulate your fit for the role effectively.
✨Tip Number 4
Demonstrate your understanding of confidentiality and ethical considerations in compliance work during your discussions. Highlighting your commitment to these principles will resonate well with the values of the Compliance Manager position.
We think you need these skills to ace Compliance Manager, MAS Investigations - Vice President
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly understand the responsibilities and requirements of the Compliance Manager position. Highlight your relevant experience in compliance, investigations, and market abuse surveillance in your application.
Tailor Your CV: Customize your CV to reflect your expertise in compliance and investigations. Emphasize your skills in data analysis, report writing, and collaboration with legal and HR teams, as these are crucial for this role.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your motivation for applying and how your background aligns with the job's key responsibilities. Mention specific examples of past investigations or compliance projects you've managed.
Proofread Your Application: Before submitting, carefully proofread your application materials for any errors or inconsistencies. A polished application reflects your attention to detail, which is essential for a Compliance Manager.
How to prepare for a job interview at Morgan McKinley
✨Understand the Compliance Landscape
Make sure you have a solid grasp of the compliance regulations and frameworks relevant to the role. Familiarize yourself with market abuse regulations and how they apply to investigations, as this will demonstrate your expertise and readiness for the position.
✨Showcase Your Investigative Skills
Prepare to discuss specific examples from your past experiences where you successfully managed or contributed to investigations. Highlight your analytical skills and ability to work under pressure, as these are crucial for the role.
✨Emphasize Collaboration
The role requires close collaboration with various teams such as Legal, HR, and Compliance. Be ready to share instances where you effectively worked with cross-functional teams to achieve a common goal, showcasing your teamwork and communication skills.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities in real-world situations. Think through potential market misconduct scenarios and how you would approach the investigation, ensuring you convey your thought process clearly.
