Compliance
The Role:
* Provide day-to-day advisory service in relation to regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters that impact debt capital market activities across all EMEA jurisdictions
* Liaise closely with the DCM and Leveraged Finance businesses and the Legal Teams covering these businesses to identify and manage the regulatory risks associated with specific transactions and the businesses as a whole
* Build and maintain strong working relationships with stakeholders and leverage those relationships to achieve the objectives of the role as necessary
* Maintain and update business related compliance policies and procedures manuals across all debt capital markets businesses and products
* Provide induction and on-going training when required on regulatory requirements, firm policies and best practice issues
* Assess new products, services and systems in light of new and existing policies and procedures, before, during and after their design and structuring
* Liaise and work with compliance colleagues in other regions; attend global compliance calls as appropriate
* Partner with Internal Audit in connection with audit reviews of debt capital market businesses
* Attend weekly business meetings, risk committees and business control committees as appropriate
* Monitor and review regulatory developments, assess impact on the business and advise management as appropriate
Qualifications
Knowledge, Skills Experience Required
* Extensive compliance experience gained within a similar compliance environment
* Preferred candidate will have strong DCM advisory experience from a leading investment bank
* Good knowledge and understanding of market structures, products, new issuance processes, prospectus requirements and market abuse regulation
* Ability to think on their feet, provide 'live' regulatory interpretations and decisions to the business in high profile and/or time constrained situations
* Good presentation skills, articulate, able to communicate quickly and clearly at all levels
* Based on the floor with the business, candidates should possess good interpersonal/client handling skills and a self-confident and proactive approach to their work; a team player, but able to operate under own initiative.
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