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Michael Page International - UK

Control Room AVP

Financial Services London, United Kingdom
Posted 4 days ago Hybrid Permanent £55k - £67k
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.

Description

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.

Profile

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)

Job Offer

Salary of £55,000 -£65,000 plus attractive benefits package

Hybrid working

job_description_image
Job ID  JN -112022-5823897
ABOUT COMPANY
London, United Kingdom
HR & Recruitment
Welcome to the Michael Page global company profile. Michael Page has five decades of expertise in professional services recruitment. We were establis...
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