Who We Are
(COMPANY NAME) is a leading bank in Europe with an international reach. It has a presence in 73 countries, with more than 196,000 employees, including around 149,000 in Europe. The Group has key positions in its three main activities: Domestic Markets, International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises: corporate clients and institutional investors.
(COMPANY NAME) Corporate and Institutional Banking is a globally recognised leader offering capital markets, securities services, financing, treasury and advisory solutions.
(COMPANY NAME) has put sustainability at the heart of its business strategy and as well as integrating ESG into its risk, financing and investment policies is actively supporting its clients in their own sustainability journey with an extensive suite of sustainable finance solutions ranging from funding to supply chain management and voluntary carbon offset.
The (COMPANY NAME) CIB London Compliance Department performs a number of roles including:
* Supporting and assisting senior management in adherence to applicable laws and regulations and in maintaining high standards of business and ethical integrity
* Interpreting and advising staff on applicable laws, regulations and standards
* Providing training to staff on a number of relevant laws, regulations and standards
* Monitoring and reporting on staff compliance with laws, regulations and standards
* Investigating and reporting on suspected breaches of such laws, regulations and standards
* Acting as (COMPANY NAME)' point of contact with the regulators and exchanges of which the bank is a member
"Compliance is a matter for everyone, first and foremost the managers and operational staff who manage relationships with customers, structure operations or operate in the markets."
To support each team in Compliance on a six month rotation. The rotations will be in any of the following teams: Controls, Central (Functions), Financial Crime, Regulatory Change/interactions. The role will require an understanding of regulation and financial markets as it will involve some interactions with the CIB Front Office, Operations and other functions. The key purpose of this role is to assist each of the teams to carry out day to day Compliance activities for various businesses and being aware of all compliance, regulatory and business-related issues. Each rotation will be different so being able to adapt and learn about all areas is vital and a willingness to learn about each area is important.
* Transversal - work with Regulatory Change team. Learn how to manage key questions about regulatory change and key projects in compliance
* Global Markets - work with each Compliance Business team to understand the many issues and key tasks therefore able to assist with the day to day work of the Global Markets team
* Compliance Controls Team - understand how to set up a Compliance Control, collect and monitor controls according to the controls framework
* Compliance Monitoring - work with the team to be able to review eComms and data and be able to monitor and report any key findings
* Central Compliance - work with the Registrations Team to log and register staff and manage the new certification process. Work with the Functions Compliance team to understand and assist with Compliance issues relating to non-Front Office staff and work on projects in this team
* Financial Crime -work on the Sanctions Monitoring Team and the Payments Team to understand the process for payments and what they are required to monitor. Work with the AML/KYC Team to help them manage the KYC monitoring.
As directed by each Compliance team, contribute to UK, regional or global projects with a view to ensuring that they are delivered effectively and efficiently. This will be dependent on the decision of each team head.
Maintain appropriate knowledge and training material to ensure to be fully compliant with rules, regulations and policies. Complete all mandatory training as required to attain and maintain competence.
* Understanding of the Financial Markets and some knowledge of the regulators and regulation
* Relevant degree from a leading University or equivalent qualification
* Good team player /
* Good interpersonal and presentation skills
* Good IT skills particularly with MS Office
* Additional language skills (European) advantageous
Opening Date: 1st September 2021
Closing Date: 1st November 2021
Primary Location: GB-LondonJob Type: Graduate / AnalystJob: Other Reference