Compliance Advisory Officer

Job Description

Main purpose of the Role:

• To conduct Regulatory Reviews of the firm and its functions through the Compliance Monitoring Programme as part of the Compliance Framework.
• To assist the other members of the Compliance Review Team members in the execution of duties.
• To conduct internal investigations when directed by Compliance management.
• To conduct investigations as required by external Regulatory bodies.
• To provide regulatory support and advice to the firms internal stakeholders.

Key Responsibilities:

Core Activity

• Perform Regulatory reviews (both desk based reviews and thematic) using a risk based approach as defined within the Compliance Monitoring Programme.
• Develop the Compliance Monitoring Programme with support from the Compliance Reviews Team Manager.
• Liaising with the Compliance Reviews Team Manager to produce reports based on reviews conducted, to discuss results and recommendations with the business and to assign owners to findings.
• Assist with tracking findings and recommendations and ensure these are closed appropriately within agreed time lines.
• Escalate issues which are not remediated within agreed timeframes to the Compliance Reviews Team Manager.
• Liaise with the Compliance Reviews Team Manager, the business and support functions to identify risk areas, investigate issues and agree recommended actions.
• Help develop the Compliance Monitoring Programme with support from the Compliance Reviews Team Manager.
• Conduct investigations (regulatory and internal) when required.
• Provide advice and guidance to the business and Compliance colleagues.
• Take on such roles and responsibilities as are required from time to time to contribute to the successful operation of the Compliance function within the BGC/ Cantors group.
• Be alert to Conduct Risk issues, specifically the risk of harm to client interests, market integrity and/or competition in financial markets due to inappropriate practices or behaviours across the firm.
• Escalate any issues identified to the Compliance Reviews Team Manager according to the escalation procedures.

Compliance Risk Management Framework

• Provide input into assessing the effectiveness of the Risk Assessments.
• Support the Compliance Reviews Team Manager, Head of Compliance and the MLRO with investigations of suspicious behaviour.

Skills / experience required:

• A good understanding of the FCA handbooks and the ability to apply the knowledge to a commercial environment.
• A good working knowledge of a wide range of financial product and services.
• Knowledge of financial products advantageous.
• Appropriate professional/industry qualifications.
• Some years' experience within a Compliance function.Some experience within a reviews / monitoring role is preferable.
• Experience of a front office environment is preferable.
• The ability to perform risk based analysis of MI and to identify risks and remediation actions.

Systems used:

• Knowledge of trading systems advantageous (e.g. Fidessa, Bloomberg, Reuters etc.)
• Excellent PC skills including Word, Excel and PowerPoint.

Personal attributes:

• Excellent communication skills including the ability to articulate information in a clear and precise manner in order to influence thinking and decision making at all levels of the organisation.
• Excellent report writing.
• Attention to detail and ability to spot anomalies.
• Good organisational and time management.
• Ability to work autonomously or as part of a team.

To all recruitment agencies - BGC Group & affiliates do not accept agency resumes. Please do not forward resumes to our job alias, employees or any other company location. BGC Group & affiliates are not responsible for any fees related to unsolicited resumes. Please contact the Recruitment function for additional details