Compliance Manager, MAS Investigations - Vice President
Business area
UK Compliance is an independent function responsible for providing specialist advice and support to UK Senior Management, business lines and functions in adhering to internal controls and external rules and managing compliance risks.
The function typically acts as a second line of defence covering areas including controls, assurance, monitoring, professional ethics, training and competence, whistleblowing, money laundering, market abuse, financial security and regulatory liaison. This includes providing advice on the development of control frameworks and conducting regular assessments of the effectiveness of controls.
The Market Abuse Surveillance team is responsible for delivery of a comprehensive compliance market abuse surveillance and risk management framework across all CIB business lines and functions across EMEA.
Job purpose
As a member of the 2LoD alert investigations team, the individual will be responsible for the management, coordination, and conduct of investigations, where directed, relating to instances of significant market misconduct arising across the Global Markets business in particular.
Key responsibilities
1. Whistleblowing and miscellaneous ad-hoc investigations
* Act as the EMEA MAS team’s Audit expert and assist in formal internal investigations.
* Depending on the ownership, scope, subject, and complexity of these cases, either coordinate or contribute to the relevant investigations and reporting.
* Ensure relevant analysis of data and records, assist in interviews, organise the investigation team, and the investigation to a timely and meaningful conclusion.
* Liaise with Legal, HR and Compliance teams as necessary in the conduct of these investigations.
* Assist in producing clear and concise reports regarding the outcome of the investigation (or relevant part of investigation), make recommendations.
* Develop and maintain a close working relationship with Compliance and other colleagues on market abuse surveillance investigation matters.
* Maintain and adhere to strict confidentiality rules when managing whistleblowing and other confidential cases.
1. Expert in trade surveillance
* When investigations are not prioritised, perform day to day L2 trade surveillance investigations across CIB EMEA and review alert cases to recommend whether they should be classified as STOR’s and MO’s before submission.
* Liaise with Compliance teams locally, regionally and globally on escalations and investigations.
* Contribute to the production and maintenance of relevant Standard Operating Procedures.
* Support the L1 offshore team by acting as one point of escalation.
* Participate in or lead training initiatives for off-shore based L1 teams.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal and Accounting/Auditing
Industries
Investment Banking
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