Compliance Monitoring Associate / Manager

Hays Financial Markets
London (Greater)
11 Jan 2018
10 Feb 2018
Contract Type
Full Time
The company:
One of the world's leading banking & financial groups with a global network spanning over 40 countries seeks a Compliance Monitoring Associate / Manager to join their team. The Group has over 140,000 employees and offers services including corporate banking, private banking, trading services, payment services, consumer finance, asset management and a vast array of lending services.

The role:
The Compliance Monitoring team is an integral and dedicated group who provide independent, objective and detailed analysis of the conduct of the business across the group. By conducting reviews and surveillance to identify the regulatory risks of the business and the activities that potentially breach the regulators' rules and regulations, the team has a unique insight into business practices and assists the firm in mitigating operational risks. A key element of this role is to establish strong working relationships with the business but to remain as independent as possible.

This role is based within the Investment Banking & Securities Trading division and will involve the following responsibilities:

- Assist in the delivery of the annual Compliance assurance and testing plan
- Conduct Compliance risk based desk and thematic reviews to deliver independent recommendations to business heads on all aspects of the Regulatory, Legal & Compliance risks associated with the business activities under review
- Market Conduct Surveillance
- Recommend enhancements to existing processes and develop new processes for identifying and monitoring Compliance and Conduct risk
- Preparation of written reports for submission to your line manager, the Head of Dept of other senior management
- Proactive and timely escalation of issues with supporting information to the Head of Dept or senior management in Compliance
- Liaison with the Business and operational areas to address substantive matters arising and escalation and presentation of significant issues to senior management where necessary
- Develop recommendations and corrective action to support the Business in addressing Compliance and Conduct risk
- Preparation of management information and reporting
- Review of relevant procedures, systems and controls to determine whether they are up to date and effective to identify/facilitate remedial action where necessary
- Develop and maintain a proactive relationship with front office and support areas
- Knowledge of regulation and the ability to provide practical and immediate interpretation of regulations in the context of the firm's business activities
- Keeping abreast of upcoming regulations
- Ad hoc projects

Key requirements:
Work Experience (Essential)
- Working knowledge of recent and current regulatory change including MiFiD, Market Abuse Directive, FATCA etc
- Ability to demonstrate a broad technical knowledge and expertise covering COBs, SYSC, CASS and MAR
- Excellent communication skills (both written and oral) and an ability to make and present persuasive arguments to support the views/opinions given to management and front office/support staff
- Understanding of SOX methodology

Education (Essential)
- University degree or equivalent

Functional / Technical Competencies (Essential)
- Understanding of FCA/PRA Rules

What you need to do now
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