Compliance Advisory Officer / Equities recruitment
Our client, a global financial institution is looking for a senior compliance professional to provide advice, guidance and support to their Equities business. Performing a broad range of compliance duties as well as getting involved in ad hoc projects
Duties Include:
• Advise and support all aspects of Equities businesses with specific responsibility for the Equity Derivatives business.
• Ensure that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice.
• Provide cross desk compliance coverage when needed across the Equities business.
• Work with the business on strategic projects to ensure that regulatory demands of those projects are met.
• Provide compliance input into the due diligence process and to respond within agreed timeframes.
• Provide compliance training to the equities business in procedures and practices necessary to achieve the requisite regulatory standards.
• Liaise with internal control groups and auditors in relation to compliance matters.
• Maintain internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
• Lead or assist in ad hoc projects when necessary.
The successful candidate will ideally have an investment banking background with in-depth knowledge of equities. You will be aware of current regulatory issues and possess excellent communication and interpersonal skills to deal with Senior Management in the UK and Abroad.
If you are interested in this opportunity, please email your C.V. to inan@altussearch.co.uk or call Inan Rashid on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.