Corporate Finance Compliance Officer recruitment
An exciting opportunity has arisen for a Compliance Officer to work within the Corporate Finance Advisory team at a global investment bank.
You will be working within the Corporate Finance Advisory Compliance team based in London providing compliance support to Bank's Corporate Finance business, part of the Bank's Corporate and Investment Bank ('CIB') Division. The businesses covered include MA, Equity Capital Markets, Corporate Broking and various industry and coverage teams.
Responsibilities include:
- Regulatory requirements in respect of transactions undertaken by Corporate Finance
- Regulatory requirements in respect of the Corporate Finance business
- Controls over confidential and inside information
- Reputational risk
- Resolution and management of conflicts of interest
- Chinese walls and wall crossings
- Drafting of policies and procedures for both the Compliance team and for the business lines
- Provision of inductions and training on compliance matters
- Global Compliance projects
- Provision of advice to the business and Legal and other teams in Compliance on the above issues.
The role will include provision of specialist advice in relation to:
- Relevant FSA Conduct of Business Rules
- UKListing Rules
- UKTakeover Panel Rules
- Bank's New Product Approval process
- Responding to regulatory enquiries and investigations
Skills and Experience:
- Experience of corporate finance compliance, Debt Capital Markets and Fixed Income is highly desirable.
- Familiarity with the UK Takeover Panel rules and/or requirements of the FSA is beneficial
- An ability to interact effectively with staff at all levels in an organisation is advantageous
To apply for this role you will need to possess the relevant experiences listed above.
This is a fantastic opportunity to work for a leading investment bank.
To apply for the role you must be eligible to work in the UK.
Please contact: ycush@morganmckinley.co.uk or call: 02070920206.