Compliance Review Officer (VP)

  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Nomura
  • 08 Feb 18 2018-02-08

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

Department overview:

The Compliance Risk Oversight and Review Team support the firm's management of Compliance Risk across the Global Markets, Investment Banking businesses and Corporate/Infrastructure functions in the EMEA region through the development and delivery of a Compliance Review Programme. The Team is also responsible for executing and overseeing the EMEA Compliance Risk Assessment process.

Role description:

  • Report to the Head of Compliance Reviews 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 or corporate function 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 Compliance MI for Senior Management 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 broader EU regulation and 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 and/or corporate 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 Operational functions impacted by conduct or market regulation, e.g. Transaction reporting, CASS
  • 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