Interim Compliance Advisory Officer - Capital Markets (12mth FTC)

Barclay Simpson
02 Sep 2017
24 Sep 2017
Contract Type

~~In this role you will be responsible for providing clear advice to the business on compliance matters, ensuring that all applicable regulatory requirements are met.

Key responsibilities:
• Assist the Head of Advisory Compliance with regard to strategic direction, culture and advice.
• Ensure that the businesses receive a true 'value added' service from the Advisory Compliance function.
• Assist with the implementation of MiFID II and other regulatory change.
• Assist in the identification of upstream regulatory risk and work to respond to or mitigate any such identified risks.
• Deliver regulatory advice and compliance-related strategic support within the department.
• Build / maintain effective working relationships with key internal stakeholders to facilitate and protect the business.
• Play an active role in the Advisory Compliance team, participating in relevant committees, groups and fora as required.
• Review the output from the Monitoring Programme and ensure that any remedial action necessary is carried out.

You should have a broad based compliance experience, with experience advising front office teams in investment banking or securities firms; with a good knowledge of back office, settlement and clearing systems. A good knowledge of relevant FCA rules (MAR, COBS, SYSC) and EU directives and regulations is essential, as is a deep understanding of wholesale financial markets.

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