Compliance Advisory recruitment
The role will be sat on the trading floor and you would be responsible for advisory to the front office on Fixed Income, sales and Debt Capital Markets. The role will involve both BAU advisory and the opportunity to be involved on numerous regulatory implementation projects.
Deliverables include:
- Providing advice to Sales, Credit Rates Trading staff regarding applicable laws, rules, regulations and bank policies and procedures on a timely basis.
- Reviewing transactions for compliance with the above.
- Escalating transactions and issues to line manager where appropriate.
- Documenting advice given in line with Compliance Procedures.
- Conducting due diligence and providing advice regarding relationships with introducers and distributors.
- Drafting and distribution of new compliance polices and procedures resulting from regulatory developments.
- Identifying weaknesses and developing new Compliance policies resulting from developments in Sales, Credit Rates Trading.
- Ensuring all relevant compliance guidance or policies are kept up to date and in line with business and regulatory developments.
- Maintain accurate records demonstrating dissemination of policies and procedures.
This opportunity is a senior position suitable for a candidate with previous experience in an advisory position on the trading floor of an investment bank with excellent knowledge of product coverage across FI Sales, Credit Rates. If you are interested in a competitive rate at a top tier institution please do not hesitate to contact me directly for further information on 0203 145 3369 or send your cv to emma.finch@bruinfinancial.com
May 14, 2012
• Tags: Compliance Advisory recruitment, Investment Banking, M & A careers in the UK • Posted in: Financial