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.
Working for our Compliance team means translating our regulation into action and making sure the industry understands and adheres to the legislation set out to protect the public's interest.
Birmingham, West Midlands (with hybrid working)
The team are responsible for testing licensees against the requirements of holding a GB gambling licence, are involved in raising standards initiatives and work to ensure that consumers are protected from gambling harm.
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 role of the Compliance Co-ordinator is critical to the on-going success of the business, so we require a committed and focused individual with exceptional attention to detail.
We're looking for an experienced Compliance Co-ordinator to join us in Birmingham City Centre.
We offer a fun and vibrant working environment, social events, mental health support and a friendly, supportive team.
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.
Manage and lead a small team of Compliance Business Partners.
Job Description
Opportunity to join a very well known financial services business joining an established 2 nd line compliance advice and policy team with responsibility for leading 2 compliance business partners and providing advice and guidance across a range of regulatory conduct and prudential risk matters.
General
The business operates a hybrid working week, the expectation would be 2 days per week in the firms offices located in the West Midlands.