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IB Compliance Officer - IB Advisory, MIFID II Implementation

IB compliance, Policy implementation; MIFID II

We are currently recruiting for an IB Compliance Expert to join a City based Bank for an initial 6 month period.

You will support the Head of Regulatory Change Implementation with the implementation of MIFID II and other strategic regulatory initiatives. The role involves interaction with Compliance, Risk and Control, and Senior Management.

We are looking for a candidate with practical experience of Investment Banking Compliance, who has worked on any of the Advisory compliance; Policy updates and policy implementation; Compliance training; Regulatory rule mapping; compliance risk assessments; Regulatory updates; MIFID II implementation from a compliance team.

Managing MiFID II Investor Protection programme input, including co-ordinating inputs from across the function; reporting, tracking and ensuring conclusion of significant issues; and resource planning;
Attendance and contribution at all relevant work-stream and cross-divisional Working Group Meetings;
Attendance at relevant industry body forums;
Proactive and constructive challenge of delivery across the workstreams
Review requirement documents, ensuring central SMEs and Business-Aligned product specialists are providing sufficient check and challenge of final design documentation
Updating and finalising regulatory rule maps, and gap analysis
Track assumptions and risks
Ensure effective communication of regulations
Agree division of responsibilities for implementation with business and other control and infrastructure function
Plan and project manage implementation
Provide regular concise milestone reporting to the central programme team, management, and various oversight committees and working groups

Experience required could be from the following backgrounds

Compliance Advisory
Policy implementation/ updates
Compliance training
Regulatory Rule mapping
Compliance Risk assessments
MIFID II Implementation (compliance focus)


Job Type:
Banking & Financial Services
Banking and Capital Markets
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