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Senior Compliance Officer - Transaction Reporting Advisory

Transaction Reporting Advisory

Your new company
A global investment bank is looking to grow it's Compliance team by recruiting a Senior Compliance Officer (Vice President) to join the Transaction Reporting Advisory team.  

Your new role

  • You will look to you to provide subject matter expertise and second line oversight and challenge of regulatory requirements to the business, ensuring submissions to there regulators are accurate, timely and compliant. 
  • You'll review and assess aligned business processes, and provide conduct advice to drive continuous improvement, reduce risk and ensure good customer outcomes are being delivered. 
  • You'll provide expert input and guidance on regulatory policy and conduct risk to your aligned business area, and you'll mitigate potential financial loss and reputational damage. 
  • Provide regulatory advice and analysis in relation to the full product life cycle, from product design to post-sales review, business initiatives, bespoke projects, transactions and investigations.
  • Proactively identify potential or actual conduct risks and ensure appropriate escalation, remediation and mitigation to manage risks back to within appetite and ensure remediation activities address root cause.
  • Develop and support less senior advisory resources to ensure individuals have the skill set to challenge the business effectively, and help to build a high performing team.
  • Develop effective and sustainable working relationships across the bank and Industry.

What you'll need to succeed
  • An understanding of the wholesale banking business, our products traded in the wholesale financial markets, and the types of customers it serves. 
  • Along with knowledge of rules and regulations (including EMIR, MiFID and FCA rulebooks).
  • You'll have a solid grasp of the regulatory landscape that applies to an investment bank, such as collateral management, margin, and trade and transaction reporting.
  • Will have previous Advisory experience ideally working for an Investment Bank. 

What you'll get in return
In return, they offer a competitive salary plus a benefit funding programme that can be tailored to suit your individual needs. In addition, they provide a wide selection of exclusive lifestyle offers, development and learning programmes, services and support designed to help you manage and balance your work/life priorities.

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.


Job Type:
Banking & Financial Services
Banking and Capital Markets
£80,000 - £100,000
Apply Now

Talk to a Consultant

Talk to Joshua Simpson, the specialist consultant managing this position, located in Nottingham

2nd Floor, Alan House, 5 Clumber Street, Nottingham, NG1 3ED

Telephone: 01159477500
For 50 years we've used our expertise to help people transform their careers.

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