Associate Director, Control Room & Compliance Advisory

New Today

An excellent opportunity has arisen at a leading Investment Bank for someone to join the Compliance Control Room and Advisory team at Associate Director level. The role provides unrestricted access to the bank's records, including investment activities and all staff involved, to ensure effective oversight and compliance.
Within the role, you will align regulatory priorities with business objectives, build and maintain strong relationships with regulators, and oversee an effective control environment. The role involves identifying, assessing, and communicating compliance risks to senior management, ensuring that reputation and regulatory matters are appropriately managed across the business.
Some of the responsibilities will include, but are not limited to: Managing core Control Room activities: Research escalations, Watch & Restricted Lists, deal updates, Information Barriers, and disclosures to regulators. Designing policies, delivering compliance training, and providing guidance to the business on evolving regulatory requirements. Conducting monitoring, investigations, and reporting breaches in line with the firm’s compliance framework. Preparing MI for senior management and liaising with regulators (FCA, Takeover Panel) as required. Promoting high standards of conduct, ethics, and regulatory compliance across the organi...
Apply
Location:
London
Job Type:
FullTime
Category:
Management & Consultancy

We found some similar jobs based on your search