Compliance Analyst (12mth contract) recruitment
The Compliance Department’s objective is to help protect the firm’s reputation and facilitate its business activities by providing advice on, and reasonable assurance of, compliance with applicable laws, regulations, rules and corporate policies, and high ethical standards. Compliance achieves these objectives by providing the firm with Advice, Education and Monitoring services.
Key Responsibilities
• Monitoring the effectiveness and general maintenance of the firm’s Information Barriers.
• Identification and management of potential conflicts of interest on transactions.
• Maintenance of the firm’s Grey and Restricted Lists.
• Reviewing and approving Research reports for regulatory, reputational and potential conflicts of interest.
• Providing prompt advice and guidance to the business on relevant policies and procedures.
• Assist in development and maintenance of IBD, Research and Control Room policies and procedures globally.
Requirements
The candidate should have Control Room experience, preferably with previous coverage of IBD and Research Compliance. The candidate must be confident and able to communicate effectively with both peers and senior management. The candidate should have:
• A good understanding of the compliance issues relating to Research products and markets and the relationships between sales, trading and research issues and corporate finance activities.
• Good appreciation of the core functions carried out by IBD and Research Compliance Teams.
• An ability to build and maintain strong relationships with IBD and Research staff and management.
• Have the ability to assimilate and analyse information in an organised and methodical manner to enable critical components to be identified and actioned.