Senior Compliance Executive - Top Bank - London

London (Central), London (Greater)
£80000 - £90000 per annum + competitive
10 Jul 2014
07 Aug 2014
Ryan Graham
Contract Type
Full Time

Senior Compliance Executive - Investment Bank - London

A highly successful Corporate & Investment bank in the City of London is seeking a Compliance Monitoring Executive to be part of the Compliance Business Monitoring and Surveillance Team who are responsible for assessing risks and controls across the Global Markets Division (Credit and Rates, Foreign Exchange & Treasury, Debt Capital Markets, Securitisation) Structured Finance Division; Client Coverage; Debt Optimisation & Distribution; Commercial Banking & Trade; and Distressed Assets.

Reporting to the Head of Compliance Monitoring and Surveillance, you will play a key role in identifying and mapping conduct risks, designing and implementing controls to protect the Bank from those risks and monitoring and reporting on the effectiveness of those controls and on the Bank's exposure to risks.

Key Responsibilities

  • Assess, develop and implement new methods of monitoring for CIB, Financing Bank and CASA to ensure that all aspects of compliance risk and compliance with internal (CIB Group) policies and external (FCA) rules and regulations are controlled.
  • Identify areas where regulatory risk standards can be enhanced and assist in their effective implementation.
  • Design and conduct monitoring controls for CIB Financing Bank and CASA including market abuse, conflicts of Interest and communications.
  • Identify, assess and map the conduct risks facing CIB, Financing Bank and CASA.
  • Track and follow up actions identified as a result of monitoring and review work and escalate when necessary.
  • Prepare Compliance MI and capture surveillance results in summary templates for reporting and audit trail purposes.
  • Support and, where required, participate in compliance desk reviews that impact on CIB Financing Bank and CASA business lines in order to assist in the identification and monitoring of compliance and conduct risks to ensure compliance with external regulations, internal policies and industry standards.
  • Devise, update and implement compliance processes, procedures, and documentation in respect of monitoring and surveillance controls. Ensuring consistency with relevant rules and regulations as well as internal policy.
  • Research and analyse applicable regulatory and exchange requirements (incl. new and changes), where appropriate in liaison with the Central Compliance team, to ensure risk assessments are aligned to current regulatory issues and specific product and business areas. Assess the key impacts and requirements in respect of existing or the development of new monitoring and controls and update Compliance Monitoring and Surveillance team and Compliance Management as necessary.
  • Assist in the provision of training materials and guidance to all staff to ensure awareness of Compliance policies and procedures.
  • Contribute to the maintenance and updating of the Compliance Monitoring and Surveillance monitoring plan/matrix.
  • Assist with regular internal and external compliance reporting and controls plus other ad-hoc tasks and projects that may arise from to time to time.


  • Strong understanding of Financing Bank business and products, e.g. Commercial Banking & Trade, Distressed Assets, Structured Finance, Project Finance, etc.
  • Strong understanding of risks and Compliance/FCA requirements within a Global Investment Bank
  • Working experience and understanding of Capital Markets/Global Markets products & services (e.g. FX, Treasury, Credit & Rates) within a Global Investment Bank.

Salary - £80,000 to £90,000

Location - City ofLondon

This is a fantastic opportunity to progress your career in a top banking institution. Applications are now open so please send CV's to Ryan Graham at

Applications are now open, so please send your CV in Word format highlighting your relevant experience to Ryan Graham at for further information

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