Compliance Officer (Equity Research and ECM)
Your responsibilities will include the following:
Research:
- Daily validation of Research reports
- Monitoring of analysts' communication with corporates, investors, sales forces
ECM:
- Compliance monitoring of ECM deals (IPO, RI, ABB)
- Maintenance of regulatory lists (watch lists, insider lists, etc)
Generic:
- Business advice and support to Analysts and ECM team
- Training
- Contribution to performing the Research ECM Compliance monitoring program
- Contribution to definition, understanding and application of internal policies and procedures
- Preparation of monthly reports to the Management
This is an excellent opportunity for you to get exposure to Exane's leading research product in Paris and London, and to develop expertise in research compliance matters, gain an operational understanding of ECM deals within the Cash Equities business, and get exposure to the French, UK and US regulatory regimes
You will be a fully-fledged member of the Cash Equities Research and ECM Compliance team.
The position is to be filled as soon as possible. The targeted location is London, although a few months will have to be spent at the Head Office in Paris.
Educated at post-graduate level from a leading university, engineering school or business school, with a minimum of 3 years of experience in Cash Equities business Compliance, ideally including an operational role as a Compliance officer on Research and ECM
Good analytical and organisational skills will ensure the quality of your work and reporting
Rigorous and efficient
Dynamic, implicated in your work responsibilities, ability to work under pressure and adapt to a very demanding environment of excellence.
Good communication skills
Excellent cooperative behaviour to be a key element of the Compliance team
Very good command of Excel
Fluent in English; Fluent or a working knowledge in French is a plus
Flexibility in terms of working hours is essential as you will be required on a rotation basis to work before the market opens.
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