Posted on :
16 Mar, 2010
16 Mar, 2010
PURPOSE OF JOB:
Ensure that all CIB Compliance issues are properly identified, tracked and effectively managed
Provide necessary support to the business in respect of compliance issues.
Maintain and develop a thorough understanding of the relevant rules and regulations applicable
to CIB Business units.
Develop strong working relationships with the CIB Business units
Provide assistance and advice on compliance issues e.g. new business, new products and new regulatory initiatives
Provide guidance on compliance requirements
Monitor Personal Account Trading (PAT) within the CIB Business units and investigate potential problem areas/trades
Assist the CIB Business units with resolution of compliance audit issues
Conduct monitoring exercises in CIB Business units
Review and approve requests for employees to gain access to areas behind “Chinese Walls”/ cross “Chinese Walls” for a specific deal
Assist as when required, in the development, drafting and updating of procedures/processes/policies and related training programmes/manuals and the delivery of training tailoring this to the CIB Business unit needs
Actively promote, on an ongoing basis a culture of Compliance within the CIB Business units
Monitor effectively the level of compliance with policies such as Market Abuse Policy, Conflict of Interest Policy, Gratification Policy
Provide guidance to CIB Business units in relation to Know Your Customer (KYC) requirements and ensure that CIB accounts are KYC compliant.