Job Title:	Compliance Mgr - Financial Products
Reference:	292388-UKen
Salary:	depending on experiance
Location(s):	City of London
Industry(s):	Banking
Advertiser:	Robert Half
Employment Type:	Permanent
Posted:	31-07-2008

Description:

The Risk Management Compliance oversees the compliance function to ensure that applicable compliance risks are identified, sufficient resources are allocated to their management, and those risks are addressed consistently and to an appropriate standard.


The Role

Provide compliance support to Funds Management, Funds Distribution, Structured Finance and Asset Financing.

Maintain the European compliance plan and related policies and procedures and monitor compliance with these policies.

Provide regulatory compliance reports (exception and assurance based) to relevant board/s and business teams per the compliance plans and governance framework.

Facilitate the provision of legal compliance advice for the teams where requested

Develop strong working relationships within Compliance and the business teams.

Provide real time regulatory compliance support to clients.

Keep abreast of upcoming, new and revised rules, regulations and directives applicable to the teams, and facilitate changes as required. This includes proactive and early communication with business and compliance stakeholders to ensure timely compliance with any changes required.

Assist with maintaining staff registrations and with the delivery and monitoring of approved persons training.

Implement appropriate compliance systems and strategy for the business teams.

Maintain and monitor Conflicts of Interest Policy and Procedures

Assist with the review and approval of Financial Promotions

Review, approve and monitor security access

Assist with appropriate anti-money laundering checks of approved distributors and clients, where applicable

Act as the primary compliance contact for the Private Placement Group with a particular focus on related Chinese wall and conflicts of interest issues

Where there is spare capacity, assist with compliance oversight for other divisions.

KEY SKILLS AND ATTRIBUTES

Regulatory compliance experience gained within a financial services, legal, audit or regulatory environment demonstrating solid understanding of FSA rules (particularly COB and COLL rules and the Treating Customers Fairly requirements) is highly desirable, however more general risk management experience is also of interest.

Compliance experience relating to the establishment, marketing, distribution or administration of fund products is desirable.

Experience with structured finance solutions and of big-ticket leasing is desirable but not essential.

Demonstrable research skills

Must be able to communicate clearly verbally and be confident in liaising with people at all levels across the bank

Sound interpersonal skills and ability to build strong relationships with clients and stakeholders

Strong written communication skills for report writing and analysis

Project management and process review skills

Attention to detail

Ability to work independently, determine priorities and meet deadlines

Enthusiasm, motivation and the ability to be proactive





Robert Half Limited is acting as an employment business for temporary positions and an employment agency for permanent positions. Robert Half Limited will only consider candidates who have a legal right to work in the United Kingdom. Robert Half is committed to equality of opportunity for all candidates and suitable candidates with more experience to that stated are welcome to apply.