Compliance Review Manager

  • Negotiable
  • London, England, United Kingdom
  • Contract, Full time
  • Nomura
  • 20 Feb 18 2018-02-20

Report to the Head of Compliance Review and Risk Assessment and execute risk based desk/thematic reviews and testing across business areas within EMEA.

Department overview:

The Compliance Review and Risk Assessment Team support the firm's management of Compliance Risk across the Global Markets and Investment Banking businesses in the EMEA region through the development and delivery of a Compliance Review Programme. The Team is also responsible for executing and maintaining the annual EMEA Compliance Risk Assessment.

Role description:

  • Report to the Head of Compliance Review and Risk Assessment and execute risk based desk/thematic reviews and testing across business areas within EMEA.
    • Employ strong investigative techniques including in-depth interviewing, inspection, observation and analytical procedures to assess compliance with key compliance risk and regulatory requirements, internal Compliance policies and effectiveness of key controls.
    • Develop practical recommendations for corrective action to be taken by the business in order to adequately mitigate compliance risks.
  • Draft clear and concise compliance review reports.
  • Maintain accurate and consistent working papers to demonstrate compliance testing undertaken.
  • Participate in meetings with the business and senior management to discuss issues and findings
    • Manage subsequent tracking and follow up on any actions recommended
    • Assist with the production of monthly Compliance MI for Senior Management within EMEA on reviews completed and issues identified by the Compliance Review Team.
    • Contribute to the ongoing development of the Risk Assessment and Review methodologies.

Key objectives critical to success:

  • A good understanding of the FCA handbooks and the ability to apply the knowledge in a commercial environment
  • Ability to perform risk based analysis of data and processes to identify risks and remedial actions

Skills, experience, qualifications and knowledge required:

  • Educated to degree level (or equivalent)
  • Experience of compliance or related review work in an Investment Banking/Trading environment.
  • Good working knowledge of financial products and services
  • Background in a risk and control environment
  • Knowledge of Front Office, Markets, Sales and trading processes
  • Knowledge of exchanges and clearing processes
  • Excellent communication skills, including ability to articulate information in a clear and concise manner in order to influence decision making at all levels of the organisation
  • Attention to detail and ability to spot anomalies
  • Excellent report writing and editing skills
  • Good organisational and time management skills
  • Ability to work on own as well as part of a team
  • Proven ability to identify control and regulatory issues and to propose practical and sustainable solutions
    • Excellent PC skills including Word / Excel / PowerPoint