Compliance Advisory Officer recruitment
A fantastic opportunity has arisen for a compliance advisory officer to work for a top tier investment bank.
You will be reporting to the Head of FI Sales, Trading and Origination Compliance Advisory, assisting in the coverage of credit and rates and providing primary coverage for Corporate and Institutional sales.
Responsibilities include:
- Advising and providing guidance on various rules and regulations affecting the business (on particular deals, rule changes etc.)
- Providing Compliance Training.
- Co-ordination of regulatory audits and inspections.
- Registration of relevant staff with the FSA.
- Responding to regulatory enquiries.
- Identification and resolution of conflicts arising in an integrated Investment Bank.
Skills and Experience:
- Ideally a qualified solicitor, qualified foreign lawyer or legal background (derivatives/structured products, regulatory or financial litigation background) is beneficial.
- Understanding of securities, corporate and contract law with an up-to-date knowledge of the rules of at least one of the main lead regulators (e.g. FSA, SEC, or BaFin) is advantageous.
- In depth operational knowledge (trading through to trade confirmation) of relevant fixed income products (structured transactions, credit derivatives, interest rate derivatives, FX and commodities) is highly desirable.
To apply for this role, you will need to possess the relevant experiences listed above.
This is a fantastic opportunity to work for a leading investment bank
To apply for the role you must be eligible to work in the UK.
Please contact: ycush@morganmckinley.co.uk or call: 02070920206.
May 29, 2012
• Tags: Compliance, Compliance Advisory Officer recruitment, Legal careers in the UK • Posted in: Financial