Compliance Advisory Officer

Alexander Mann Solutions (Contingent)
London, United Kingdom
26 May 2022
08 Jun 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
We are AMS. We are a global total workforce solutions firm; we enable organisations to thrive in an age of constant change by building, re-shaping, and optimising workforces. Our Contingent Workforce Solutions (CWS) is one of our service offerings; we act as an extension of our clients' recruitment team and provide professional interim and temporary resources.

Our investment banking client has been present in the UK for more than 150 years, they're a long-term partner to British business. Today, the Group is formed of 10 divisions and employs 9,300 staff based in 21 core locations right across the country. Their role is simply stated: help clients achieve their goals by combining local know-how and global reach. In so doing, they seek to make a positive, sustainable contribution to both the UK economy and society.

On behalf of this organisation, AMS are looking for a Functions Compliance Advisory Officer for a 3 month contract based in London (50% office based 50% home).

Purpose of the Role:
  • To provide Compliance advice, support and guidance to the Corporate Functions in adhering to applicable laws and regulations and mitigating compliance risks

As a Functions Compliance Advisory Officer you will be responsible for:
  • Provide advice and support to Functions in relation to new projects, implementation of Compliance policies and relevant global, European or local new regulations.
  • Monitor, analyse and interpret existing regulations impacting the CIB UK Functions
  • Assist the Head of Functions Compliance conducting regulatory gap analysis and risk assessments to identify any material weaknesses, or control gaps; developing recommendations to re mediate, and ensuring changes are executed in efficient, effective and timely manner.
  • Lead in the provision of timely and accurate advice on regulatory implications on new or significant changes to existing Outsourcing arrangements and SLAs impacting the London branch.
  • Support and where required lead on Compliance risk assessment reviews of digital innovation and technology projects impacting the London branch.
  • Design and deliver targeted, bespoke, topical training sessions on relevant rules,regulations, or best practices.
  • Production and review of Compliance reporting and MI for governance and control Committees as required.
  • Represent UK Functions Compliance or CIB UK Compliance and contribute in various governance forums, risk committees, and other meetings with Senior Management.
  • Escalate issues to the Head of Functions Compliance as they arise.
  • Support the roll-out of new Market Integrity (MI)/Protection of Clients' Interests(PIC)policies, procedures and controls. Provide guidance and advice regarding the application of MI/PIC standards
  • Incorporate MI/PIC Rules of Conduct in local training where required
  • Acts as an information conduit between the central domain and the Business

What we require from the candidate:
  • Knowledge and understanding of UK and EU regulatory framework, or the ability to learn Strong academic background
  • Excellent presentation, communication and interpersonal skills
  • Good Microsoft Office skills in PowerPoint, Excel, Word
  • Pro-active, organised and sound judgement
  • Ability to manage varied workloads, prioritise work and meet deadlines

If you are interested in applying for this position and meet the criteria outlined above, please click the link to apply and we will contact you with an update in due course.

This client will only accept workers operating via an Umbrella or PAYE engagement model.

AMS, a Recruitment Process Outsourcing Company, may in the delivery of some of its services be deemed to operate as an Employment Agency or an Employment Business

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