The successful candidate will be primarily responsible, with others, for the provision of Front Line Unit Compliance services to the EMEA Equities Business located within the London based entities that include the Equities Client Solutions, Equities Execution Services and the Equities Asset Management Services.

As a FLU Compliance Specialist your main responsibilities will involve:

  • Compliance Risk Management Program – The role entails the effective implementation of and compliance with relevant aspects of the Compliance Risk Management Program in respect of the EMEA Equities Business
  • GBAM Front Line Unit Compliance Roles and Responsibilities policy – To undertake the requirements described in the policy, to undertake work as directed by Compliance management; this would include work in respect of the Compliance Risk Assessment process and the production of ad hoc project work
  • Governance – The role would entail the development of effective working relationships with relevant business persons and engaging with them to understand strategy and direction and independently advise those persons on how to deliver that strategy while effectively managing compliance risk
  • Working relationships with compliance officers dealing with other businesses should be developed, and relationships with relevant support functions should also be formed
  • The role would also involve attendance and participation in relevant governance forums providing advice and, where necessary, challenge, and providing clarity on the Bank’s regulatory and exchange obligations
  • Regulatory change and policy work – The role requires an understanding of the UK, European and global regulatory framework that applies to the London based equities businesses. It also requires input into regulatory change processes to ensure that regulatory changes are effectively embedded within the Bank, assistance with relevant policy and procedure development and training, and ensuring that, where necessary, aspects of regulatory change are reflected in the Firm’s Surveillance, Monitoring and Testing routines
  • Regulatory interaction – The role would require, from time to time, interaction with various regulators and exchanges. This would include reacting to enquiries, escalation of certain issues, and preparing for regulatory visits and reviews
  • Global interaction – The role requires interaction with compliance officers based in other locations and, through them, interaction with their business partners when the need arises
  • Potential issue review and escalation – The role includes the review of potential issues that would be raised through surveillance, monitoring, testing or general observation, and, where deemed necessary, escalation of relevant issues to the appropriate persons

As a FLU Compliance Specialist your skills will ideally include:


  • Knowledge of relevant UK, European and Global frameworks and policies that would affect the business
  • Training – The role requires assistance in the development and delivery of training, both face-to-face and on-line
  • Excellent communication skills
  • Attention to detail

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