To assist the Central Compliance Group in the performance of Control Room activities effectively and efficiently.
Our client are a leading Global and Investment Bank.
The Control Room AVP will be responsible for:
- Draft and update adequate documentation, procedures and resources to support the Control Room activities.
- Complete and handle Takeover Panel matters including drafting procedures and presentations, disclosure requirements and liaise with the Panel where necessary
- Approve marketing materials prepared by the Front Office and advise them on how to apply conduct rules and guidelines before they are sent to the customer.
- Monitor appropriate information barriers and insider trading prevention procedures
- Participate in the review of conflict of interest check sheets, in order to ensure conflicts are appropriately managed by the firm.
- Liaise with Group companies on relevant Compliance topics including Conflicts of Interest, information handling.
- Review and approve personal account dealing requests from the bank's employees, in order to mitigate the risk of insider dealing.
- Support coordination of SEC Rule15a-6 Foreign Associated Person process and visitation checks including monthly reconciliation process across Bank and Capital Markets
- Support MAR Investment Recommendation disclosure framework to ensure appropriate publication on external website
- Prepare Control Room MI for regular reports (including Key Risk Indicators, Key Performance Indicators) to be presented to various internal committees.
- Support the tracking of new regulatory implementation implementing regulatory change through enhancements to policies and procedures
- Review documentation for dissemination throughout the Group (e.g. newsletter, pipeline reports, etc) to mitigate the risk of the sharing of inside information.
- Provide support to the Advisory teams on ad hoc projects.
The Control Room AVP should have the following skills:
Some knowledge of:
- Financial Services laws and regulations
- Financial markets and Banking activities
- Financial market awareness and interest in current affairs (economic and political)
Salary of £55,000 -£65,000 plus attractive benefits package