You will be joining a team based in Birmingham which performs a variety of surveillance tasks with respect to the Bank's Europe, Middle East & African operations, which will include Trade Surveillance, Communications Surveillance and Information Barriers Surveillance across Corporate & Investment Banking.
The role will also involve participating in Surveillance projects, including contributing to enhancement of existing surveillance scenarios, new products, financial exchanges and jurisdictions, as well as other enhancements to the effectiveness or efficiency of surveillance.
The Certification Regime forms part of the broader Senior Managers and Certification Regime (SMCR), which is implemented through Deutsche Bank's UK Employee Licensing function within Employee Compliance.
The role holder will be responsible for the independent oversight and management of the Compliance function across the business.
We are working exclusively with a successful Investment Management firm who are looking for a Head of Compliance (SMF16/17) to report directly into the board.
Key Responsibilities
Effectively communicating and building relationships with the regulator, trustee and custodian;.
The Regulatory Adherence Team is the 2nd Line control function responsible for the lifecycle for regulatory change and management of the regulatory change risk.
In addition, be responsible for line management responsibilities for the Compliance Business Partners.
Our West Midlands based client are looking to appoint a Compliance Policy & Advice Manager on a hybrid basis.
The purpose of this role is to provide sound, accurate and commercial advice on regulatory (conduct and prudential risk) matters affecting the business, that will enable the them to operate in accordance with industry best practice as well as meeting regulatory standards.
To provide support to a team of compliance consultants who provide regulatory consultancy to Cobra Network who are insurance intermediaries.
To support the Cobra Network team meet the regulatory requirements of holding appointed representative status and being part of Group of Companies, some of which are directly authorised by the FCA.
This role provides assurance to the Security Compliance and Standards Manager, that applicable areas of the business are compliant with legislative and airport security requirements, including undertaking quality assurance checks in line with company's Quality Assurance and Security Management System (SeMS) frameworks.