COMPLIANCE OFFICER
COMPLIANCE OFFICER - EQUITY CAPITAL MARKETS
Top Tier Investment Bank are looking for an experienced Compliance Officer to work within their EMEA Banking / Research Compliance team.
The role holder will provide day-to-day compliance advisory coverage to the Equity Capital Markets (ECM) origination business within EMEA and sits on the role sits on the Private Side.
Provide a pro-active and re-active day-to-day advisory service in relation to regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters which impact equity capital market activities across all EMEA jurisdictions
Liaise closely with the ECM business and ECM Legal Team to identify and manage the regulatory and business conduct risks associated with ECM transactions and the business as a whole
Knowledge, Skills Experience Required
Ideal candidate will currently be working in a capital markets compliance advisory role with experience of equity capital markets and have good understanding of the equity capital markets and investment banking products and of the relationships between sales, trading and research issues and equity capital markets activities
Have specific ECM compliance experience or have worked in Control Rooms where you have specialised or focused on IPOs and other ECM transactions in their Control Rooms.
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