Compliance Manager – Capital Markets recruitment
The main responsibilities will include:
- Responsible for ensuring business is compliant with the rules of the FSA, relevant stock exchanges, trade associations and group standards
- Assist in managing the relationship with the regulators
- Providing advice to front and back office functions
- Involved in the new product approval process for the above businesses
- Co-ordinate with overseas offices/booking centres within the group
- Conducting compliance training
- Coverage of other members of the Wholesale Corporate Compliance Team as required
The ideal Candidate will have the following Skills:
- Extensive knowledge of the rules of the FSA (including MiFID)
- Knowledge of cross border transactions and issues pertaining dealing to/from jurisdictions outside the UK
- Understanding of AML rules
- knowledge of issues pertaining new issues, IPOs, structured notes
- knowledge of conflicts management issues (including public/private issues, confidentiality agreements)
- Strong knowledge/exposure to some of the following products one or all of Credit/rates, (cash/derivatives), Equity (UK and European), Financing transactions, Commodities
This is a very urgent hire so successful applicants will be contacted within 24 hours. Please note only successfull candidates will be contacted
Finance Professionals is part of Hydrogen Group.
August 13, 2012
• Tags: Capital Markets recruitment, Compliance Manager, Investment Banking, M & A careers in the UK • Posted in: Financial