Compliance Advisory Manager

Hudson IT
United Kingdom
£90k - £110k pa
07 Oct 2017
08 Nov 2017
Contract Type
Full Time
Compliance Advisory Manager required by leader in Investment Banking to join a Global Markets Compliance team covering global multi-asset trading but with a focus on Agency Securities Lending Key Responsibilities *Providing advice to ASL staff regarding applicable laws, rules, regulations and the banks policies and procedures on a timely basis * Advising the business on the establishment, improvement and documentation of their controls * Reviewing and opining on new business initiatives and transactions * Escalating transactions and issues to management where appropriate * Drafting and reviewing policies and procedures resulting from regulatory developments Skills & Qualifications: * An understanding of securities, corporate and contract law with an up-to-date knowledge of the rules of at least one of the main lead regulators (e.g. FCA, PRA, BaFin or SEC) * In depth operational knowledge (trading through to trade confirmation) of relevant products (equities, structured transactions, equity derivatives, etc) * Experience with understanding and advising on an appropriate course of action on a broad range of legal and regulatory provisions * Knowledge and experience of the compliance and legal issues impacting major investment banks * Experience working with compliance colleagues in other locations Please note you will receive an automated response advising you that we have received your CV. Hudson is a leading provider of permanent recruitment, contract professionals and talent management solutions worldwide. We are committed to ensuring that all job applicants are treated equally, without discrimination because of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.
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