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Private Side Compliance Advisory - Securitisation

Private Side Compliance Advisory - Securitisation


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Your new role
The Private Side Advisor will be responsible for providing conduct and regulatory advisory services to the UK private side Businesses in line with the bank’s code of conduct, internal Compliance policies, and all applicable regulation e.g. Market Abuse Regulation, “MAR” and the Markets in Financial Instruments Directive, “MiFID II”.

The businesses in scope will include, Securitisation, the Private Debt Mobilisation, Risk Solutions Group, and potentially Global Transaction Banking.

  • Assisting on the delivery of the overall Compliance responsibilities, and more specifically those pertaining to the above mentioned businesses, as outlined in the Compliance Mandate.
  • Ensuring the Compliance function remains professional, effective and independent at all times.
  • Providing real time compliance coverage of the London based businesses.
  • Maintaining a permanent presence on the private side floor, and where necessary (and dependent on urgency), provide out of hours’ coverage.
  • Assisting with the Compliance attendance at team meetings and providing Compliance updates as appropriate.
  • Developing relationships with key stakeholders within the Bank e.g. Legal, and Credit, building credibility for the Compliance function and enhancing the Compliance brand more widely.
  • Providing professional compliance advice and guidance with respect to the maintenance of the information barriers within the UK and the integrity thereof.
  • Providing expert advice (in conjunction with the Head of Private Side Compliance and the advisory team) with respect to conflict of interest situations.

What you'll need to succeed
  • Demonstrates a solid understanding of the Securitisation business in addition to the specific key compliance risks.
  • Has proven track record/ experience of advising these businesses.
  • Has awareness and understanding of challenging and changing regulatory environment in which the Bank operates and more importantly the applicability of such regulation to the above mentioned businesses.
  • Demonstrates a good understanding of the wider regulatory environment (e.g. European regulation) and how this influences UK regulation.
  • Attends industry roundtables and market events where such topics are discussed and proposals are shared.
  • Demonstrates a good awareness of areas of regulatory focus and upcoming areas of interest and how any such changes may impact the private side business.

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.


Summary

Job type:
Permanent
Industry
Banking & Financial Services
Location
London
Specialism
Banking and Capital Markets
Pay
£75,000 - £100,000 + 30% Bonus
Ref:
3385531
Apply Now

Talk to a consultant

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

107 Cheapside, London, EC2V 6DN

Telephone: 020 3465 0110
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