Compliance Officer – Markets / Investment Banking recruitment
Our client, a global financial institution is looking for a compliance officer to join their Markets Compliance department. The individual would assist in the provision of guidance, advice and support to Senior Management and the business in identifying and mitigating regulatory risk as well as promoting a proactive compliance culture within the firm.
Duties Include:
• Assist in the provision of proactive regulatory advice to the business and other support functions.
• Assist manage the successful delivery of compliance projects ensuring technical excellence and a business driven approach that maintains a high level of confidence.
• Interact with regulators, exchanges and industry bodies as required and assist with any queries.
• Develop and implement compliance policies and procedures to reflect regulatory obligations applying to the business, working with other members of Compliance and business
• Assist provide compliance input into the new product approval process
• Develop training materials and carry out compliance training to the business and other staff.
• Maintain up to date knowledge of FSA initiatives and apply them to the business where appropriate.
• Undertake or assist with ad hoc project work, providing analysis and making recommendations when required.
The preferred candidate will ideally have an investment banking securities or broking background and demonstrate a strong knowledge of either equities, fixed income, commodities or derivatives products. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, please email your C.V. to inan@altussearch.co.uk or call Inan Rashid on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.