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Jake Wyatt
Associate Director, Recruitment Consultant
International Investment Bank are seeking a Conflicts Officer to cover a 12 month maternity leave contract. Primary responsibilities will be to manage the London office's conflicts management function, including investigations, wall crossing and outside business interests. Due to IR35 legislation this will be a 12 month Fixed Term Contract.
Skills
- Solid Financial Services compliance experience
- Good time management skills to meet multiple business deadlines
- Strong written and verbal business communication skills.
Main duties and responsibilities
- Main point of contact for London's conflicts management policy and procedures. Covering conflicts of interest monitoring and investigating, wall crossing, record keeping and escalations.
- Proactively identify violations of regulatory (FCA & PRA) and internal business requirements. Conducting appropriate enquiries and investigations to ensure that appropriate corrective actions are implemented with escalations as appropriate.
- Suggest improvements to the conflicts management programme
- Perform regular review of the Corporate Banking business including internal and external distributed material.
- Check all financial promotion and marketing material prior to distribution
- Have a sound working knowlege of UK and European regulation affecting the business.
- Update conflicts management policies and procedures when required.
- Primary responsibility for producing Control Room management information including KPI and KRI's to support monitoring of the business activity.
- Update the breaches register to ensure that issues identified are recorded, reported and resolved adequately.
Job Details
Job Title
Conflicts Officer - Investment Banking
Specialism
Regulatory Compliance
Location
London
Salary
£50,000 - £70,000
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Awards
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Best Risk
Recruitment Firm2015
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Best Compliance
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