Compliance Advisory Associate Director Treasury and Markets

Randstad Business Solutions ,
London, Greater London
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Overview

PURPOSE: To protect the brand and enable achievement of business goals through an integrated compliance culture and programme across the enterprise by: Assisting the head of UK I&TS Compliance in delivering an appropriate Compliance Risk Management Framework and promoting a strong compliance culture consistent with strategic objectives and risk appetite; Serve as the main point of contact in Compliance for the relevant assigned I&TS businesses, in particular in providing sound technical advice to the business on the range of products and services within the I&TS platform, in particular within Treasury and Market Services (FX, Securities Lending, Funding & Liquidity and Cash Management) as well as Investor Services (Custody, Trustee & Depositary Services, Fund Accounting, Transfer Agency and Middle Office); Maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed; Establishing and maintaining a strong, effective control environment; and Identifying and communicating compliance risks inherent in the business to senior management and the business. PRIMARY RESPONSIBILITIES: Associate Director within the Investor & Treasury Services Compliance team for UK, with responsibility for supporting the Head of Compliance in relation to all regulated and unregulated activities of the UK business. Responsibilities Include: Organise and support on the delivery of the Compliance Training program Lead/Support of regulatory advice to the UK I&TS business on projects/day-2-day activity Support and advise Compliance Monitoring Team in respect of reviews Assisting Management Information reporting Assisting the team, and undertaking ad-hoc assignments as required Support and advise on new regulation/legislation as it applies to the firm and act as the Compliance lead/second Act as Compliance advisor for new business/products/services development within the UK I&TS business RESULTS EXPECTED Timely and technically accurate research and advice; Clear and concise written and verbal communication; Prompt and high standard of execution to all assigned tasks; Completed drafts of compliance communication, policy and procedures; and Creation and delivery of appropriate training modules for I&TS front office staff (where the need for such training has been identified). JOB SPECIFICATIONS: Organise and support on the delivery of the Compliance Training program Lead/Support of regulatory advice to the UK I&TS business on projects/day-2-day activity Support and advise Compliance Monitoring Team in respect of reviews Assisting Management Information reporting Assisting the team, and undertaking ad-hoc assignments as required Support and advise on new regulation/legislation as it applies to the firm and act as the Compliance lead/second Act as Compliance advisor for new business/products/services development within the UK I&TS business WORKING CONDITIONS Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

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