Job Title:	REGULATORY MANAGEMENT AND CONTROL TEAM & DATA PRIVACY, ASSISTANT VICE PRESIDENT
Reference:	VR/01342
Salary:	400000 - 500000
Location(s):
Industry(s):
Advertiser:	JJ Associates (Recruitment) Ltd
Employment Type:	Permanent
Posted:	01-03-2010

Description:

Great opportunity to join the compliance team of this established company in an interesting role as an Assistant Vice President.

Job Description:
The candidate is responsible for undertaking various day to day compliance duties, including processing regulatory matters affecting employees, responding to queries, analysing the impact of regulatory change on the business, assisting in the co-ordinating and maintaining compliance documentation and polices for Europe and assisting in data protection and privacy work. Main duties/responsibilities of the role Regulatory Management and Control Process requests and maintain the appropriate registers on regulatory matters affecting employees e.g. P A Dealing, restricted stocks, insider lists, gifts and entertainment, conflicts and whistle blowing.
•Assist in preparing and maintaining compliance policies and manuals and the development, maintenance and delivery of compliance programmes
•Investigate and prepare the response to queries received from regulatory authorities, trading venues and exchanges
•Maintaining a process to enable all potential notifiable events and all regular reports to be provided promptly to the regulators.
•Responding to queries from business units and clients providing compliance information and advice as appropriate.
•Undertaking compliance analysis of changes to regulations and exchange rules and where required producing reports and briefing papers identifying their impact and making recommendations.
•Assist with compliance input into new products, services and systems by identifying regulatory or other issues and establishing the most appropriate way of complying with regulatory or other requirements.
•Participating in projects and initiatives.Data Protection and Privacy Regulation
•Receive and investigate data protection incidents
•Implement and monitor the data protection and privacy training and awareness strategies, working with Learning & Development and business units as required
•Provide advice to the business. Technical Knowledge
•Good working knowledge of FSA rules and their application (COBS, SYSC, CASS, SUP and DISP) and knowledge of the FR regulations would be useful
•Knowledge of the rules and regulations of the LSE, the major CCPs and MTFs and major exchanges
•Knowledge of Data Protection
•Must maintain a general awareness of Companies Act legislation, Financial Services and Markets Act and other related legislation
•Analytical skills to identify existing and proposed regulation, regulatory announcements and industry practises and ability to help the business implement procedures to meet these requirements
•Project management experience
•Ability to implement compliance efforts for the Company as they relate to regulatory or policy requirements
•Strong problem solving skills
•Excellent report writing and presentation skills
•Ability to work independently and a strong work ethic
Person/ Experience required:
General compliance skills are essential as well as advisory/ policy compliance.Must have policy experience, able to communicate articulately with senior management, high level of written communication skills and can write succinct papers, enthusiastic with the ability to learn and pick up things quickly.
Experience in dealing with UK regulator
Relevant product/financial services experience