Head of Compliance Advisory (Structured Products)
We have a current opportunity for a Head of Compliance Advisory on a permanent basis. The position will be based in London. For further information about this position please apply.
Manage the structured products Compliance Advisory Team to ensure
- They maintain regular ongoing daily engagement with the structured products business groups.
- They appropriately allocate structured products advisory Compliance resource to deliver ongoing compliance support to business, to include team workload and task management.
- The Compliance structured products team reviews and provides advice on specific BAU transactions to include advice to business on the application of global compliance policies, exchange rules and regulations.
- The timely performance of compliance review and approval of new Business initiatives.
- The timely identification of regulatory change affecting the structured products businesses, ensuring appropriate collaboration across all relevant Support Functions and assisting the Business with implementing the new regulation in a robust and controlled manner.
- The Compliance participation in ongoing structured products business governance processes with a particular focus on product manufacture and distribution. In addition, compliance collaboration in development of any new enhanced governance processes.
- The Compliance review of product/service related materials such as marketing materials, presentations and product brochures are in line with regulatory requirements
- The team works with Legal and other Compliance colleagues in the other regions, to advise on and to address any cross-jurisdictional compliance matters.
- Support is provided to Compliance Assurance colleagues through the completion of the annual Compliance Risk Assessment Process for the Solutions business and execution of assurance
- Skilled at stakeholder management; ability to work closely with multiple internal stakeholders, able to build strong cooperative relationships at all levels.
- Initiative and commitment to excellence – actively and enthusiastically attempt to influence, seek opportunities to originate action, encourage and develop new ideas.
- Ability to think outside the box and provide creative solutions.
- Be able to multi-task, prioritize and work to deadlines in a pressurised environment.
- Strong conduct and culture lens with a focus on good customer outcomes.
- Ensuring compliance with the company’s regulatory requirements under the FCA.
- Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
- Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
- At all times complying with the FCA’s Code of Conduct.
- To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.
- To report any breaches of policy to Compliance and/ or your supervisor as required.
- To escalate risk events immediately.
- To provide input to risk management processes, as required.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.