Jobs in Richmond

Compliance Advisory: Offer real-time and responsive advice to the business on daily matters, including reviewing transactions that pose conduct and reputational risks, addressing trading and sales queries related to market impact or restructuring, and preparing meeting materials. Policy Implementation: Collaborate with the Global Compliance team to drive compliance policies, procedures, and practices into the business. Risk Assessment: Identify and assess compliance risks through thorough reviews of business activities, changes, processes, testing, and systems. Regulatory Monitoring: Review and monitor regulatory requirements and industry trends related to credit and securitized products, providing guidance to the business on compliance best practices.Training and Support: Provide training and support to employees on compliance policies and procedures.Answer day to day queries on the trading floor.Help with governance of new product launch approvals.Drafting Procedures, and helping the wider teams understand compliance and new conduct.Advising the team and business on compliance issues

Role holder is key to driving the Governance & Control agenda of the Financial Crime Execution team and wider UKC / IB Financial Crime controls.Plays a key role in supporting Financial Crime reporting and Financial crime oversight.The role holder is required to make critical judgements and come up with solutions based on critical analytical thinking, comparing and selecting complex alternatives as each situation requires.Duties include design and delivery of E2E process and policy improvements with demonstrable cost/benefit analysisThe role holder is required to have a good understanding of financial crime policy, operational processes and AML regulations in order to consider and challenge any control issues.