VP - Compliance Monitoring & Testing - Global Markets

Job Description

This global investment bank has one of the largest balance sheets in the world and has a significant footprint in every major financial market. The firms trading floor in London, covers all key product areas with a very presence in structured product solutions.The firm now seeks a Product Specialist to join their Compliance Monitoring team to conduct investigations related to financial crime, market abuse, market manipulation and/or other breaches of FCArules ®ulations.The firm is looking for someone who may have worked on the Trade Floor or in Surveillance, have excellent knowledge of Fixed Income products and the way they are sold or traded and be able to guide non-financial compliance officers in conducting their investigations.In return, your career could rapidly escalate to a broader range of coverage and have a team of direct reports supporting you.THE ROLEKey responsibilities will include:

• Provide logistical and technical support to the Head of the Team in delivering the Annual Testing & Monitoring Plan.
• Provide robust thematic and desk-based reviews that have been completed with accuracy, diligence andclose attention to detail.
• Conduct investigations and report the findings with clarity, factually and accurately.
• Begin to lead, mentor and develop junior members of the team with a view to managing a team of up to 5 people in the near future.
• Where necessary, you will be required to share your findings with the 1stline ofdefence Risk & Controls team, the 2nd lineCompliance teams and the 3rd line Auditors in order to ensure that the firm’s controls and governance policies are being adheredto in a uniform manner.
• Escalating any key findings to Senior Management immediately and keeping them abreast of key issues on an ongoing basis.
• Carry out testing and monitoring work with the aim of identifying any attempt by clients of members of staff of the firm to commit financial crime, market abuse, manipulation, or other breach of rules or regulations.
• Act as an SME on market & product compliance monitoring reviews. The team will be reliant on your knowledge of the complex way that products are bought, sold and traded utilising best in class systems and tight regulatory controls.

The Ideal Candidate will have:

• Strong Banking Global Markets/products knowledge required
• Some experience delivering compliance reviews, or detailed technical understanding of trade-floor regulatory requirements from an Operational Risk, Audit, Credit Risk or Controls & Frameworks background.
• Must be fluent in the use of MS Excel, Powerpoint of MS Word
• Strong data analytics skills would be very beneficial.

The Candidate:

• A minimum of 6 years experience working in Investment Banking
• A good understanding of the FCAs regulations as it applies to the trade floor.
• Strong knowledge and awareness of the processes, policies and regulations that Sales and Trading teams are required to adhere to.
• Excellent communication skills
• A strong personal sense of urgency and motivated approach
• A keen interest in educating others
• Strong problem solving skills with the ability to prioritise for yourself and others
• Good project management skills
• An inclusive and welcoming approach
• Strong leadership potential - this job is very much about leading by example to an ambitious and eager to learn team