Debt Capital Markets Compliance Officer recruitment
Core Responsibility
To assist in all tasks in the compliance advisory function, including day to day tasks and project tasks. To maintain an effective compliance culture within the supported business units.
Daily Responsibilities
- Provide Compliance coverage to Capital Markets Advisory including Structured securitisation, Conduit and Structured Credit Investments
- Be the primary contact for internal client inquiries, requests and ad hoc projects relating to covered business areas
- Identify possible areas of compliance risk and develop action plans for resolution
- Ensure employees are in compliance with the rules and regulations, that the firms policies and procedures are being followed
- Directing / Escalating compliance issues to appropriate resources for investigation
- Providing daily regulatory advice and guidance regarding regulations and internal polices
- Reviewing proposed, new and revised rules and regulations
- Drafting and implementing new policies and procedures and update existing policies and procedures
- Providing advice on new business and product proposals (CTR) to identify and address compliance and regulatory risk
- Support the Control Room in managing wall crossings and conflicts
- Conducting reviews of and preparing responses to regulatory requests and inquiries
- Give training on relevant regulatory matters for business units
- Assist with annual regulatory risk assessment exercise Responding to regulatory inquiries and investigations
- Ensure compliance with the Bank's procedures and guidelines together with all relevant regulatory and statutory requirements where appropriate implementing actions to protect the Bank's business at all times.
Technical Requirements
- Knowledge of the FSA Rules
- Understanding of the Information Barrier structures in a large multi service firm
- To be aware of legal regime in which product areas operate
- A good exposure to the product areas (including Corporate DCM, Financial Institutions DCM, Bond Syndication, Debt Advisory, Loan Markets, Secondary Loan Syndicate)
This is a VP or AVP level hire and will have a strong focus on Debt Capital Markets Advisory.
Please do get in touch to discuss further.
May 13, 2012
• Tags: Capital Markets careers in the UK, Debt Capital Markets Compliance Officer recruitment • Posted in: Financial