Chief Compliance Officer UK - Investment Bank

City of London Permanent
  • Head of Compliance
  • investment banking experience

About Our Client

A highly regarded international investment bank

Job Description

· Oversight of the Compliance team in the maintenance of compliance policies

· Oversight of the compliance training programme, including implementation of the yearly training plan, identification of relevant training courses and the face to face delivery of certain training courses

· Oversight of the Compliance monitoring and surveillance programme. · Oversight of the review and implementation of the conduct risk framework

· Oversight of assessing and implementing relevant regulations and regulatory outputs (for example, speeches, good and poor practices, thematic reports, surveys, reports)

· Responsibility for the insider dealing and market abuse aspects of financial crime (excluding fraud, bribery and corruption, anti-money laundering, terrorist financing and sanctions)

· Responsibility for complaints handling. · Responsible for compliance reporting to senior management and relevant board(s)

· Responsibility for conduct rules training of Capital Markets London staff.

The Successful Applicant

  • A university graduate or equivalent
  • Minimum of 10 years experience in compliance in the international banking and the wholesale financial markets
  • Experience and strong knowledge of UK regulations § Good knowledge and experience of dealing with the regulators
  • Ability to translate strategic priorities and adopt a proactive approach to the compliance mission and take a balanced view
  • Experience of establishing, reforming and managing teams
  • A logical and practical approach to work
  • Strong attention to detail and the ability meet deadlines with minimal supervision
  • An appreciation of regulatory risk and skills compatible with the dimensions of the role
  • An ability to communicate effectively both orally and in writing with a wide cross section of personnel both externally and internally

What's on Offer

competitive package and excellent opportunity.

Sumrana Saleem
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Sumrana Saleem
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