Head of Compliance Advisory (Structured Products)

  • Location
    City of London, London
  • Contract Type
    Permanent
  • Posted
  • Start Date
    ASAP
  • Industry
    Banking (In-house)
  • Expiry Date
    2022-12-07

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.
  • Experience of managing and leading a Compliance Advisory team.
  • Track record of providing Compliance Advisory support to a Structured Products and Derivatives business, within financial services markets, at a senior level.
  • Significant prior Compliance advisory experience from a wholesale markets background, at least 5 years at a senior level, dealing closely with the sales/trading business and partnering with them for the success of the brand.
  • Significant knowledge and understanding of regulatory frameworks impacting Structured Product and Derivative activities in the UK/EU and the ability to apply EU regulation post-Brexit. Strong knowledge of FCA rules and guidance particularly those relating to MiFID, MIFIR, EMIR, MAR, RPPD, PROD, PRiiPS.
  • Experience of regulatory regimes in Brazil, Singapore, the United States, Australia, and Canada.
  • Established relationships and experience with regulators such as FCA, CFTC, AMF, SEC, ASX.
  • Degree educated or equivalent and financial services industry qualifications preferable.

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.

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