This is a business facing role, sitting alongside the corporate finance team. Key responsibilities will include:


• Conflicts checking, managing conflicts of interest and AML compliance


• Undertaking daily, weekly and monthly procedures for monitoring compliance with policies and procedures and regulatory

requirements and assisting to resolve issues identified


•Incident and breach reporting


•The development, implementation and updating of divisional policies, procedures and systems


•Assisting with regulatory liaison, applications, investigations and inquiries involving the business


•Assisting with compliance reporting to senior management and the central Risk Management Group - Compliance team


•Development, delivery and monitoring of compliance training


•Monitoring changes in applicable regulations, rules and regulatory interpretations to ensure ongoing compliance by and minimisation of regulatory risk for the business




To be successful, you will:


•have gained at least 3 years experience in an investment banking, legal or regulatory environment, preferably with experience in financial services compliance


•posses a working knowledge of applicable legal and regulatory requirements


•have an interest in having greater involvement with the business


•possess the ability to work independently, determine priorities and meet deadlines


•have strong interpersonal skills, initiative and a good eye for detail


•have strong written and verbal communication skills


•have the ability to take a pragmatic, commercial approach to compliance whilst achieving desired outcomes

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