Compliance Monitoring Executive – London

Compliance Monitoring Executive – European Bank

A highly successful European bank in the City of London is seeking a Compliance Executive to be part of the Compliance Business Monitoring and Surveillance Team who are responsible for assessing risks and controls across the Global Markets Division (Credit and Rates, Dept. markets, trading, sales, treasury and Foreign Exchanges), Structured Finance business line (Asset Finance, Energy & Infrastructure Finance, Leverage & Commodity Finance), Debt Origination & Distribution and Client Coverage.

Reporting to the Head of Compliance Monitoring and Surveillance, you will play a key role in identifying and mapping conduct risks, designing and implementing controls to protect the Bank from those risks and monitoring and reporting on the effectiveness of those controls and on the Bank’s exposure to risks.

Key Responsibilities

Assist in designing and conducting monitoring controls for Global Markets including TCF/Suitability monitoring, Margin Monitoring (Actimize MAC), Market abuse, Conflicts of interest and Buybacks, Market Soundings and Allocations
Conduct LIBOR submission and communications monitoring.
Compile breaches/incident reports arising from monitoring activity, investigate issues arising and report the outcome.
Assist in the development and implementation of new monitoring controls other than those set out above.
Undertake physical and system access controls and associated reviews as required.
Support and participate in compliance desk reviews undertaken by Compliance Monitoring that impact on various business lines to monitor the firm’s compliance with regulations and industry standards.
Devise, update and implement compliance processes, procedures, and documentation consistent with relevant rules and regulations of regulators and exchanges.
Research and evaluate applicable regulatory and exchange requirements (inc changes) in order to update Compliance Management of key impacts and requirements in monitoring and controls.
Assist Compliance Management in the provision of training materials and guidance to all staff to ensure awareness of Compliance policies and procedures.
Assist with regular internal and external compliance reporting and controls plus other ad-hoc tasks and projects that may arise from to time to time.
Assist with the preparation of Compliance MI.
Stay abreast of regulatory changes and industrial developments that impact the bank, undertaking scope and impact analysis, and working with business areas to determine mitigating activities and changes in policies or procedures as necessary.

Requirements:

Strong understanding of Debt market products such as Origination, Syndications, Credit and Rates, Structured Products, FX and Treasury
Compliance/FCA experience within Global Investment Banking products and services.
Working experience of the Financing bank products such as Loan, Client Coverage, Debt Syndications, Distribution, Structured Finance, Project Finance, Trade Finance.
Detailed knowledge and understanding of products & services in Investment Banking & Global Debt Markets.

Salary – £66,000 – £78,000

Location – City ofLondon

This is a fantastic opportunity to progress your career in a top banking institution.

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