Compliance Specialist - Investment Banking - City, Birmingham, United Kingdom, B1
A Compliance Specialist is required by a global investment bank to join the Control Room and help prevent and detect the misuse of unpublished price sensitive information through the administration and monitoring of the Bank's Information Barrier procedures.
Key responsibilities of the role include
- Assisting the Control Room team in supporting the bank in Europe, the Middle East and Africa (EMEA) and Germany
- Being responsible for daily Control Room activities related to research pre-clearance, information barriers and conflict clearing
- Giving highly specialised advice and interpretation of legal, regulatory and compliance risk and surveillance requirements as they relate to information barriers, watch lists, restricted lists, wall crossings, conflicts of interest, trading, research clearance and related issues
- Maintaining the Watch and Restricted Lists
- Assisting with regulatory inquiries and interacting with regulators in relation to investigations related to information barriers/insider trading as well as assisting in the maintenance of internal policies and procedures
- Building and maintain relationships with relevant Compliance Advisory, Front Office Business, and other control function staff
- Assisting in the timely resolution of exchange, regulatory or internal investigations and enquiries
- Reviewing and update relevant policies and procedures
You will be an experienced Compliance professional from the Banking / Financial Services arena with a good working knowledge of FCA regulations. Any previous experience of information barriers, Chinese Walls etc. would be advantageous but is not essential. You must have the ability to network and build relationships across a wide range of internal departments and will possess excellent communication skills as well as a good eye for detail.