Compliance Officer (Investment Bank)
Location: City of London
Our client is one of the largest banking groups in Europe. Built on its strong cooperative and mutual roots, with more than 140,000 employees and a presence in 49 countries, they are a responsible and responsive bank serving 52 million customers globally.
This is an exciting opportunity to join their Compliance and Financial Security department on a permanent basis. The Central Compliance team is responsible for transversal compliance and regulatory matters. The remit of the team is wide, evolving and includes (but is not limited to): regulatory projects, regulatory training and awareness, internal and external reporting, certification process, policies and procedures, control work, and data protection.
The associate in the Central Compliance team will undertake multiple compliance matters and will be cross- trained to assist all members of the Central team across the following areas:
- Administration of the Senior Managers Regime Certification Regime (SMCR)
- Maintain and report on Personal Account Dealing activities
- Compliance Reporting / Control work
- Trade reporting on UK stocks
- Compliance reviews
- Data Loss Prevention
- Data Subject Access Requests (DSARs)
- Transaction Reporting
- PRA Continuous Assessment Meetings
- General Compliance matters
- MiFID II transaction reporting experience is an absolute must
- 3-5 years’ experience working in wholesale investment bank / financial services firm
- Understanding of FCA/PRA Rules.
- Strong administrative skills.
- Good interpersonal skills with strong diplomacy and tact.
- Confident and adaptable, and possess an eye for detail.
- Proactive, with a ‘can do’ attitude.
- Proactive and able to initiate and run tasks, controls, reporting and mini-projects
- Analytical skills
- Compliance, Banking and product knowledge