Control Room/Conflicts officer Control Room/Conflicts officer …

Holmes Search
in London, England, United Kingdom
Permanent, Full time
Last application, 02 Apr 20
£55,000 - £75,000
Holmes Search
in London, England, United Kingdom
Permanent, Full time
Last application, 02 Apr 20
£55,000 - £75,000
International Investment Bank are seeking a conflicts officer to cover a 12 month maternity leave contract. Primary responsibilities will be to manage the London offices conflicts management function, including investigations, wall crossing and outside business interests. Due to IR35 legislation this will be a 12 month Fixed Term Contract.

Skills 

  • Solid Financial Services compliance experience 
  • Good time management skills to meet multiple business deadlines
  • Strong written and verbal business communication skills.

Main duties and responsibilities

  • Main point of contact for Londons conflicts management Policy and procedures. Covering conflicts of interest monitoring and investigating, wall crossing, record keeping and escalations.    
  • Proactively identify violations of regulatory (FCA & PRA) and internal business requirements. Conducting appropriate inquiries and investigations to ensure that appropriate corrective actions are implemented with escalations as appropriate. 
  • suggest improvements to the conflicts management program
  • Perform regular review of the Corporate Banking business including internal and external distributed material.
  • Check all financial promotion and marketing material prior to distribution
  • have a sound working knowledge of UK and European regulation effecting the business. 
  • Update conflicts management policies and procedures when required. 
  • Primary responsibility for producing Control Room management information including KPI and KRIs to support monitoring of the business activity.
  • Update the breaches register to ensure that issues identified are recorded, reported and resolved adequately
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