Global Markets Compliance Officer, Investment Banking

Hybrid working, London

This role will have primary responsibility for Business Compliance activities in relation to defined businesses with the Global Markets area in London, primarily focusing on Commodities.

This will involve developing, compliance policies as well as coordinating and monitoring the effectiveness of compliance support for the relevant business within the framework of the overall compliance strategy and the Compliance strategy set by the UK Head of Compliance.

This person will be required to deliver sound regulatory advice, as well as taking a proactive role in identifying potential compliance weaknesses and initiating measures to rectify them.  In addition, developing, in conjunction with the Compliance Control team, an effective routine monitoring plan for the London Global Markets area.

  • Compliance Policies and Procedures
  • Regulatory Advice and Queries
  • Training and Awareness
  • Compliance Monitoring Programme
  • Rolling Business Reviews
  • Trade Monitoring and Exchange Business
  • Conflicts Management
  • SMCR and Exchange Registration
  • Management Reporting

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