Central compliance officer - control room

Recruiter
Altus Search
Location
London (Greater)
Posted
21 Apr 2019
Closes
26 Apr 2019
Sector
Legal
Contract Type
Permanent
Hours
Full Time
Ref: 913ASI Title: Central compliance officer - control room Location: London Salary: Attractive Date: 10th April 2019 Our client, an International Investment Bank is looking for a Central compliance officer - control room to be responsible for all Central Compliance related tasks that currently sit within the EMEA Compliance Control Room and Compliance Advisory teams to ensure the effective and timely operation of the day to day functions. Duties Include: Produce daily reports to monitor daily equity positions and to identify any breaches. To oversee and administer the Certification and Fitness and Proprietary process. Responsibility for other Regulatory Registrations as required. To manage the Personal Account Dealing and Outside Business Interests declaration process To undertake CCR surveillance tasks as required. To manage the Gifts and Entertainment process, provide approval and escalation to Anti-Bribery Compliance officer as required To administer the new joiner process for all employees, allocation of public, private, permanent, functional insider status by notification, arranging training as required for permanent insiders and responsibility of period review of status. To produce periodic Management Information Compliance related stats and MI provision Committee management & updates Complaints handling and management Annual management plans Cross departmental projects. International Regulatory programmes management and reporting. Regulatory filings. The preferred candidate will ideally have a strong understanding and knowledge of banking products & UK regulatory environment. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business efficiently. If you are interested in this opportunity, please email your C.V. to contact@altussearch.co.uk or call 020 7430 1831 for a confidential discussion. Our client is an equal opportunity employer and values diversity in the company. The company does not discriminate by race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. Altus Search Ltd is acting as an employment agency in relation to this role. Duties Include: Produce daily reports to monitor daily equity positions and to identify any breaches. To oversee and administer the Certification and Fitness and Proprietary process. Responsibility for other Regulatory Registrations as required. To manage the Personal Account Dealing and Outside Business Interests declaration process To undertake CCR surveillance tasks as required. To manage the Gifts and Entertainment process, provide approval and escalation to Anti-Bribery Compliance officer as required To administer the new joiner process for all employees, allocation of public, private, permanent, functional insider status by notification, arranging training as required for permanent insiders and responsibility of period review of status. To produce periodic Management Information Compliance related stats and MI provision Committee management & updates Complaints handling and management Annual management plans Cross departmental projects. International Regulatory programmes management and reporting. Regulatory filings. The preferred candidate will ideally have a strong understanding and knowledge of banking products & UK regulatory environment. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business efficiently. If you are interested in this opportunity, please email your C.V. to contact@altussearch.co.uk or call 020 7430 1831 for a confidential discussion. Our client is an equal opportunity employer and values diversity in the company. The company does not discriminate by race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. Altus Search Ltd is acting as an employment agency in relation to this role.

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