UK Compliance Financial Specialist
Fineco Bank
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Function and Job

The resource will join the Investment Services Team within the Advisory and Regulators Unit in the Compliance Department with the following tasks :

  • taking care that the UK business of the Bank (Branch or / and freedom to provide services) is conducted in compliance with UK regulation and accordingly to Group’s Compliance standards
  • providing support and advice in relation to extraordinary transactions of any kind and projects to implement new products / services / markets, and liaising with the internal departments;;
  • monitoring of regulatory developments applicable to the branch;
  • providing support and guidance for the implementation of regulations;
  • participating in the Compliance Risk Assessment ensuring effective contribution in assessing Compliance risks including support due to define second level controls
  • providing assistance and advice to the Bank's top management and to the departments involved in financial and investment services by means of :
  • written opinions or answers to questions on legislative interpretation in the area of competence;
  • support in preparation and amendment of contracts with retail and institutional customers on financial services and products related to compliance themes, review of contracts with strategic partners such as issuers of financial instruments and products (e.
  • g. confidentiality agreements and memorandum of understanding, placement agreements / distribution agreements for financial products) in the area of competence, taking into account the applicable regulations, interpretations provided by the Competent Authority or opinions expressed by the relevant trade associations and the compliance department;
  • Skills

  • excellent knowledge of UK and EU civil law and regulations in the financial sector (with particular focus on financial products);
  • knowledge of the functioning of financial markets and types of financial instruments;
  • English mother tongue or excellent English;
  • previous experience of at least 2 year in the banking / financial sector;
  • Strong orientation towards results and problem solving mind, dynamic and proactive personality with excellent organizational skills, great flexibility, marked attitude to teamwork, positive interaction with the colleagues.
  • Degree in Law or Finance;
  • At least 3 years of experience in the field.
  • Location : Milan

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